Minutes of the Board of Regents of Stephen F. Austin State University. 2005, Volume No. 216

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Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
October 20,2005
Volume 216
TABLE OF CONTENTS
Oath of Office and Recognitions 1
06-02 Approval of July 13 and 14, 2005 Minutes 2
06-03 Approval of Personnel Items
A. Faculty Appointments for 2005-2006 2
B. Staff Appointments for 2005-2006 [.ZZZ'.Z'a
C. Changes of Status for 2005-2006 ....^6
D. Retirements g
E. Leave of Absence 9
06-04 Approval of Academic and Student Affairs Items
A. Fall, 2005 Underenrolled Classes 9
06-05 Approval of Financial Affairs Items
A. Endowment Investment Fund Manager Change 10
B. Oracle Maintenance (Amended) 10
C. Hotel Contracts 10
D. Payment Options for Students with Delayed Financial Aid 10
E. Approval of Annual Audit Report 11
F. Addendum to Agreement for Advertising Consultant Services
Between Stephen F. Austin State University and AMS Production
Group 11
G. Dishwashing Machine Replacements 11
H. Approval for Purchases over $50,000 (Arthur Temple College
of Forestry and Agriculture)—Columbia Geospatial Service
Center—Two-Year Lease of Office Space 11
I. Approval for Purchases over $50,000 (Arthur Temple College
of Forestry and Agriculture)—Columbia Geospatial Service
Center—Renovations of Office Space. 11
J. Approval for Purchases over $50,000 (Arthur Temple College
of Forestry and Agriculture)—Columbia Geospatial Service
Center—Two-year lease of office space 12
K. Approval for Purchases over $50,000 (Division of Biotechnology,
College of Sciences and Mathematics)—Purchase of a Typhoon
Trio Plus Imager As Awarded by the National Science Foundation... 12
L. Research Development Fund 12
M. Expend Funds from Rural Nursing Initiative 12
06-06 Approval of Buildings and Grounds Items
A. Baseball Softball Complex—Approval of Site 13
B. Request for Proposal-Baseball/Softball Complex Architect 13
C. Request for Proposal-Baseball/Softball Complex-
Construction Manager at Risk 13
D. House Sale 13
E. Boiler Replacements 13
F. Outside Cable Plant Upgrade 14
G. Chemistry Building Improvements 14
H. Selection of Electricity Provider 14
06-07 Approval of University Policies and Procedures Items
A. Appointment of Public Information Coordinator for the
Board of Regents 14
B. Policy Revisions 14
C. Board Rules and Regulations 14
VIII. Reports 15
A. Faculty Senate
B. Student Government Association
C. College of Sciences and Mathematics Report
D. Building Construction Report
E. Enrollment Management
F. Audit Services Report
G. Vice President for University Advancement
H. President
Appendix 1 - Underenrolled Classes for Fall, 2005
Appendix 2 - Policy Revisions
B-16 Kennedy Auditorium 3
B-29 University Center Operations 4
C-17 Memberships 12
C-33 Purchasing Ethics and Confidentiality 13
C-41.A Investments—Endowment Funds 15
C-46 Fraud Policy 23
C-49 Travel 30
D-4 Appearances before the Board of Regents 41
D-l 1 Emergency Management Plan 43
D-22 Naming Guidelines 52
E-56 Ethics 54
F-16 Accessibility for Persons with Disabilities 63
Appendix 3 - Board of Regents Rules and Regulations
Minutes of the Regular Meeting of the
Board of Regents of Stephen F. Austin State University
Nacogdoches, TX
Austin Building, Room 307
October 20, 2005
The Meeting of the Board of Regents was called to order at 9:00 a.m., Thursday, October
20, 2005 by Chair Fred Wulf. No Executive Session was held.
PRESENT:
Board Members: Mr. Richard Boyer
Dr. Margarita de la Garza Grahm
Ms. Valerie Ertz
Mr. Joe Max Green
Mr. Kenneth James
Mr. Paul Pond
Mr. James Thompson
Mr. Melvin White
Mr. Fred Wulf
President: Dr.Tito Guerrero
Vice-Presidents: Dr. Mary Cullinan
Dr. Jerry Holbert
Dr. Baker Pattillo
Dr. Marlin Young
General Counsel: Ms. Yvette Clark
Other SFA administrators, staff, and visitors also were present in Room 307.
President Guerrero introduced Judge Michael H. Schneider, U.S. District Judge for the
Eastern District of Texas and SFA alumnus, as well as other judicial guests, District
Judge Ed Klein, District Judge Campbell Cox, and County Attorney Jeff Davis. Chair
Fred Wulf introduced the three newly-appointed board members, Richard Boyer, James
Thompson, and Melvin White. Judge Schneider administered the oath of office to the
three new regents.
President Guerrero presented a certificate of appreciation from the American Association
of State College and Universities to Dr. Carrie Brown, Director of Research and
Sponsored Programs, for her participation in a Graduation Rate Outcomes Study Project.
President Guerrero recognized Monique Cossich, Executive Director of Enrollment
Management, for her efforts resulting in the recent increase in university enrollment.
President Guerrero introduced Provost and Vice President Cullinan, who introduced Dr.
John Jacobson, Dean of the College of Education. Dr. Jacobson presented several faculty
members in the College of Education who together have written and received grants for a
»#,???eafly $15'000'000: MeIanie Jephson, Alan Sowards, Lynda Martin, Bill Bryan
Bill Weber, Bob Bryant, Dixie Mercer, Glen McCuller, Robert Choate, Scott Whitney '
Betty Alford. Jl
Dr. Jacobson also presented a framed painting to Dr. Alan Sowards, Ms. Elyce
Rodewald, and Dr. Cheryl Boyette, representing a state award from'the Texas Forest
Service for their annual Bugs, Butterflies, and Blossums Children's Festival.
Dr. Cullinan introduced Dr. Anthony Duben, Dean of College of Sciences and
Mathematics, who recognized the members of the SFA chapter of American Association
™nf **? GeoI°glsts>who have won the national Outstanding Chapter Award in
2005, for the third time in ten years. Representing the chapter were Dr. LaRell Nielson
Professor of Geology, Justin Burt, AAPG Chapter President, Chris Reeves, Chapter Vice
President, Manetta Dilhngham, Chapter Secretary, and Marcy Stonescipher Chanter
Representative. ' v
Dr. Baker Pattillo gave a report of the response of the university to the recent Hurricane
Rita disaster. The university opened a shelter in the William Johnson Coliseum which
provided safe haven to over 1000 people during the evacuation. Dr. Guerrero presented
certificates to staff and students who participated in the university's effort Student
recipients were Amanda Cathey, Ashley Rhodes, Gaby Rodriguez, Joe Walker, Jose
Pmones, Kendall Townsend, Lacy Claver, Randi Cooper, Ryan Home, and Tim Lofing
Staff members receiving a certificate were Steve Westbrook, Michael Preston, Charlie
Hueber, Jeff Huskey, John Rulfs, John Branch, Jeremy Stolfa, Trey Younger Marc
Cossich, Chris Rivers, Jack Nelson, Ron Watson, Lee Britain, and Brad Patterson
APPROVAL OF MINUTES
06-02
Upon motion by Regent Pond, seconded by Regent de la Garza-Grahm all members
voting aye, it was ordered that:
The minutes of the July 13 and 14, 2005 meetings be approved.
PERSONNEL
06-03
Upon motion by Regent Thompson, seconded by Regent Ertz, all members voting aye it
was ordered that the following personnel items be approved: '
A. FACULTY APPOINTMENTS FOR 2005 - 2006
1. Business
Dr. Minho Park. Visiting Assistant Professor of Computer Science, Ph.D.
(University of Florida), at a salary of $74,000 for 100 percent time for nine
months, effective August 23, 2005.
Mr. Jason Powell. Lecturer of Computer Science, M.S. (Stephen F. Austin State
University), at a salary of $35,000 for 100 percent time for nine months, effective
August 23, 2005.
Ms. Kelly Noe. Lecturer of Accounting, M.S. (Stephen F. Austin State
University), at a salary of $32,000 for 100 percent time for nine months, effective
August 23, 2005.
2. Education
Dr. Neill Armstrong. Assistant Professor of Secondary Education, Ph.D.
(Oklahoma State University), at a salary $47,000 for 100 percent time for nine
months, effective August 23,2005.
Dr. Kenneth Austin, Assistant Professor of Secondary Education and Educational
Leadership, Ph.D. (University of Texas at Austin), at a salary of $46,000 for 100
percent time for nine months, effective August 23,2005.
Dr. Kris Bills, Lecturer of Elementary Education, Ph.D. (Kent State University),
at a salary of $45,000 for 100 percent time for nine months, effective August 23'
2005.
Mr. John Donihoo. Instructor of Elementary Education, M.A. (Stephen F. Austin
State University), at a salary of $41,000 for 100 percent time for nine months,
effective August 23,2005, contingent upon completion of terminal degree bv'
May 2011.
Mr. Jarod Lambert. Visiting Assistant Professor of Secondary Education M.Ed.
(University of Houston), at a salary of $44,000 for 100 percent time for nine
months, effective August 23, 2005.
3. Fine Arts
Dr. Christina Guenther. Visiting Assistant Professor of Music, Ph.D. (Florida
State University), at a salary of $38,000 for 100 percent time for nine months,
effective August 23,2005.
Mr. JeffSchultz, Instructor of Music, M.A. (Northwestern University), at a salary
of $36,000 for 100 percent time for nine months, effective August 23,2005.
4. Forestry
Mr. Daniel Scognamillo. Assistant Professor of Wildlife Management (GIS),
M.A. (University of Florida), at a salary of $14,000 for 100 percent time for two
months, effective June 1, 2006, and $42,000 for 100% time for nine months,
effective September 1, 2006, contingent upon completion of Ph.D. by April 2006.
5. Liberal Arts
Dr. D. Matthew Ramsev. Assistant Professor of English, Ph.D. (Ohio State
University), at a salary of $3,000 for 50 percent time effective July 7, 2005, for
Summer II session and $38,000 for 100 percent time for nine months, effective
August 23, 2005.
6. Science and Mathematics
Ms. Hilary Dosser. Lecturer of Mathematics and Statistics, M.S. (Stephen F.
Austin State University), at a salary of $31,000 for 100 percent time for nine
months, effective August 23, 2005.
Mr. David McCann. Clinical Instructor of Nursing, M.A. (University of Phoenix),
at a salary of $54,000 for 100 percent time for nine months, effective August 23
2005.
Dr. Rose Powell. Assistant Professor of Nursing, Ph.D. (George Mason
University), at a salary of $58,000 for 100 percent time for nine months, effective
August 23,2005.
Ms. Amanda Whisenant. Lecturer of Mathematics and Statistics, M.S. (Tarleton
State University), at a salary of $32,000 for 100 percent time for nine months,
effective August 23, 2005.
B. STAFF APPOINTMENTS FOR 2005 - 2006
1. Athletics
Ms. Jenifer Wells. Head Softball Coach, at a salary of $42,700 for 100 percent
time for 10.5 months, effective July 18, 2005.
Mr. Fred Gillum, Assistant Softball Coach, at a salary of $25,200 for 100 percent
time for 10.5 months, effective August 1,2005.
Mr. Brian Yale, Assistant Volleyball Coach and Instructor, at a salary of $38,769
for 100 percent time for 10.5 months, effective August 1, 2005.
Mr. Johnny Cardenas. Assistant Baseball Coach, at a salary of $35,000 for 100
percent time for 10.5 months, effective September 1, 2005
Mr. Christopher Connallv. Assistant Baseball Coach, at a salary of $30,000 for
100 percent time for 10.5 months, effective September 1, 2005.
Mr. Brian Ross. Assistant Sports Information Director, at a salary of $33,159 for
100 percent time for 12 months, effective, September 1, 2005.
2. Controller
Ms. Tamela D. Kimbro, Accountant II at a salary of $35,000 for 100 percent time
effective August 8, 2005 for 12 months.
Ms. Anne Uhvrek. Bursar at a salary of $48,000 for 100 percent time effective
May 31, 2005 for 12 months.
3. Counseling and Career Services
Ms. Nicole Preston. Counselor, at a salary of $36,383 for 100 percent time for 12
months, effective July 18, 2005.
4. Health Services
Ms. Merry Shelton. Registered Nurse, at a salary of $29,456 for 100 percent time
for 9 months, effective September 1, 2005.
Ms. Janice Haile. Registered Nurse, at a salary of $34,365 for 100 percent time
for 10.5 months, effective August 25, 2005.
5. Forestry
Mr. Cody Betts. Beef Farm Supervisor, at a salary of $35,329 for 100 percent
time for twelve months, effective July 1, 2005.
6. Instructional Technology
Mr. Brian Tarplev. Instructional Systems Administrator at a salary of $33,667.56
for 100 percent time effective June 14, 2005 for 12 months.
7. Library
Mr. Reginald Gossett. Assistant Manager Library Systems, at a salary of $41,000
for 100 percent time for twelve months, effective September 12, 2005.
C. CHANGE OF STATUS FOR 2005 - 2006
1. Academic Affairs
Dr. Marlin Young, from Associate Provost/Vice President for Academic Affairs,
at a budgeted salary of $ 126,800 for 100 percent time for twelve months to
Interim Vice President for Business Affairs, with an additional stipend of $750
per month for the "interim" duties, with effect from August 22, 2005.
2. Athletics
Mr. William Bobo, from Lecturer in Kinesiology at a salary of $38,160 for 100
percent time for 9 months to Athletic Trainer at a salary of $30,000 for 100
percent time for 10.5 months, effective September 1, 2005.
Ms. Jennifer Wiggins, from Student Intern Manager in Agriculture at a salary of
$23,940 for 100 percent time for 12 months to Assistant Equestrian Coach at a
salary of $25,000 for 100 percent time for 10.5 months, effective September 1
2005.
Ms. Amanda Went, from Intern Coach in Women's Basketball at a salary of $5.15
per hour for 100 percent time for 9 months to Assistant Women's Basketball
Coach and Instructor of Kinesiology at a salary of $43,000 for 10.5 months,
effective August 2, 2005.
Mr. James Dixon, from Assistant Director of Sports Information at a salary of
$33,159 for 100 percent time for 12 months to Director of Sports Information at a
salary of $39,461 for 100 percent time for 12 months, effective September 1
2005.
Mr. Robert Meyers, from Director of Sports Information at a salary of $39,461 for
100 percent time for 12 months to Assistant Director of Athletics for Business at a
salary of $50,000 for 100 percent time for 12 months, effective September 1
2005.
Mr. John Branch, from Assistant Director of Athletics at a salary of $46,350 for
100 percent time for 12 months to Assistant Director of Athletics at a salary of
$50,000 for 100 percent time for 12 months, effective September 1, 2005.
Mr. Matthew Fenlev, from Assistant Director of Athletics for Compliance and
Student Services at a salary of $63,877 for 100 percent time for 12 months to
Associate Director of Athletics for Compliance and Student Services at a salary of
$68,877 for 100 percent time for 12 months, effective September 1, 2005.
3. Financial Aid
Ms. Rebecca B. Shepherd from Scholarship Coordinator at a salary of $36,715 for
100 percent time for 12 months to Scholarship Coordinator at a salary of $36 800
for 100 percent time for 12 months, effective September 1, 2005.
4. Forestry
Mr. Tred Riggs, from GIS System Administrator, at a salary of $46,125 for 100
percent time for twelve months, to Geospatial Application Specialist II, at a salary
of $50,000 for 100 percent time for twelve months, effective July 16, 2005.
Mr. David Barfield, from Project GIS Specialist, at a salary of $25,000 for 100
percent time for twelve months, to Geospatial Trainer I, at a salary of $30,000 for
100 percent time for twelve months, effective July 16, 2005.
5. Health Services
Dr. John H. Miller, from Physician at a salary of $85,543 for 100 percent time for
10.5 months to Director of Health Services at a salary of $94,689 for 100 percent
time for 10.5 months, effective September 1, 2005.
6. Human Resources
Ms. Glenda F. Herrington, from Human Resource Director at a salary of $67,300
for 100 percent time for 12 months to Human Resource Director at a salary of
$67,700 for 100 percent time for 12 months, effective September 1, 2005.
7. Institutional Research
Ms. Sandra J. Turner, from Manager of Instructional Technology Systems at a
salary of $58,203 for 100 percent time for 12 months to Associate Director of
Institutional Research at a salary of $58,203 for 12 months, effective September
8. Intramurals
Mr. Bryan Bradbury, from Graduate Assistant at a salary of $2,627.33 for 50
percent time for 2.5 months to Intramural Supervisor at a salary of $24,355 for
100 percent time for 9 months, effective August 29,2005.
9. Liberal Arts
Dr. Christine McDermott from Lecturer of English and Philosophy at a salary of
$28,000 for 100 percent time for nine months to Assistant Professor of English
and Philosophy at a salary of $40,000 for 100 percent time for nine months,
effective August 23, 2005.
Mr. Matthew Partridge, from Lecturer at a salary of $32,500 for 100 percent time
for nine months to Director AELI, at a salary of $32,500 for 100 percent time for
nine months, effective September 1,2005.
10. Science and Mathematics
Mr. Ronald Havner, from Adjunct Faculty at a salary of $6,500 per semester to
Lab Coordinator, at a salary of $32,000 for 100 percent time for nine months
effective August 25, 2005.
Mr. Michael Hitchcock, from Adjunct Faculty at a salary of $6,000 per semester
to Lab Coordinator, at a salary of $32,000 for 100 percent time for nine months
effective August 25, 2005.
Mr. William Godwin, from Adjunct Faculty at a salary of $1,500 per semester, to
Project Director at a salary of $6,000 for 100 percent time for three months
effective June 1,2005.
11. Telecommunications
Mr. Preston R. McMullen. from Network Support Specialist I at a salary of
$32,552 for 100 percent time for 12 months, effective September 1, 2005 to
Network Support Specialist I at a salary of $32,700 for 100 percent time for 12
months, effective September 1,2005.
D. RETIREMENTS
1. Alumni
Ms. Betty L. Ford, Assistant to Associate Vice President for Alumni Affairs
effective August 31, 2005.
2. Athletics
Mr. Steve McCartv. Athletic Director, effective August 31, 2005.
3. Health Services
Dr. Robert Eanes. Director/Physician, effective August 31, 2005.
Ms. Barbara A. Bahs. Registered Nurse, effective August 31, 2005.
4. Liberal Arts
Dr. Nancy Wisely, Associate Professor of Sociology, effective December 31,
5. Science & Mathematics
Dr. Kenneth Price, Associate Professor of Mathematics & Statistics effective
August 31, 2005.
E. LEAVE OF ABSENCE 2005-2006
Sociology
Dr. Jerry Tvler. Assistant Professor, leave of absence without pay,
effective January 1, 2006, through December 31, 2006.
ACADEMIC AND STUDENT AFFAIRS
06-04
Upon motion by Regent White, seconded by Regent Boyer, with all members voting aye
it was ordered that the Fall 2005 Underenrolled Class list be approved The list is
attached as Appendix 1.
FINANCIAL AFFAIRS
06-05
Upon motion by Regent Ertz, seconded by Regent de la Garza-Grahm, eight members
voting aye, Regent Green abstaining, it was ordered that the following Financial Affairs
items be approved:
A- ENDOWMENT INVESTMENT FUND MANAGER CHANGF
Davis Advisors was selected to replace John A. Levin & Co., Inc. as the
endowment funds large capitalization value style fund manager.
B. ORACLE MAINTENANCE (AMENDED)
The Board of Regents approved an ongoing annual expenditure not to exceed
$134,000 in FY06 for Oracle software maintenance. Source of funds will be
O&M.
C. HOTEL CONTRACTS
Non-exclusive contracts will be established with all respondents to the
solicitation, Victorian Inn & Suites, Continental Inn & Suites, Stag Leap Country
Inn, Fredonia Hotel, and Appleby Sand Road Bed & Bagel for lodging and
banquet needs. The contracts will be for services as needed, each with a not to
exceed amount of $175,000 per year. Each contract will be for one year, with
four annual renewals, subject to administrative approval. The President was
authorized to sign the contracts.
D- PAYMENT OPTIONS FOR STUDENTS WITH DELAYED FINANCIAL ATP
Authority was granted to the Vice President Business Affairs (or Finance and
Administration) to postpone the due date for the payment of all or part of the
tuition and fees for a student for a semester or summer session in which the
student will receive one or more delayed financial aid awards as authorized by the
legislative provision in Sec 54.0071 of the Education code, effective September 1,
2005. This authority may be modified by Texas Higher Education Coordinating
Board's subsequent rules and procedures.
10
E. APPROVAL OF ANNUAL AUDIT REPORT
The Board of Regents approved the Annual Audit Report for the Fiscal Year
Ended August 31, 2005.
F- ADDENDUM TO AGREEMENT FOR ADVERTISING CONSULTANT
SERVICES BETWEEN STEPHEN F. AUSTIN STATE UNIVERSITY AND AMS
PRODUCTION GROUP "
The president was authorized to sign an addendum to the agreement for
advertising consultant services with AMS Production Group for services
including media planning and placement of existing television spots in Houston,
Dallas, and East Texas media markets, reproduction of 20,000 copies of a student
recruiting DVD, and production of two new television spots to air in the 2006-
2007 fiscal year for a cost not to exceed $165,000.
G. DISHWASHING MACHINE REPLACEMENTS
Approval was given to proceed with the purchase and installation of three
dishwashing machines for the East College and University Center cafeterias at a
total cost not to exceed $300,000.
H- APPROVAL FOR PURCHASES OVER $50.000 f ARTHUR TEMPLE COT.T.FPtF
OF FORESTRY AND AGRICULTURE)—COLUMBIA GEOSPATIAL SERVICE
CENTER—TWO-YEAR LEASE OF OFFICE SPACE
Approval was given for the lease of office space for the Columbia Geospatial
Service Center at Plaza Place, 106 S. Pecan Street, Nacogdoches, for two years
beginning in October, 2005, at a total cost not to exceed $36,000 per year.
I- APPROVAL FOR PURCHASES OVER $50.000 (ARTHUR TEMPLE COLLEGE
OF FORESTRY AND AGRICULTURE)—COLUMBIA GEOSPATIAL SERVICE
CENTER—RENOVATIONS OF OFFICE SPACF.
Approval was given for renovations to the leased office space for the Columbia
Geospatial Service Center at a total cost not to exceed $75,000.
11
1 APPROVAL FOR PURCHASES OVER $50.000 fARTHUR TEMPLE COT.T.F.GF
OF FORESTRY AND AGRICULTURES-COLUMBIA GEOSPATIAL SF.R VTCF
CENTER—FURNISHINGS FOR OFFICE SPACF "
Approval was given for the purchase of furnishings for the Columbia Geospatial
Service Center at a total cost not to exceed $60,000.
K- APPROVAL FOR PURCHASES OVER $50.000 (DIVISION OF
BIOTECHNOLOGY, COLLEGE OF SCIENCES AND MATHEMATICS^—
PURCHASE OF A TYPHOON TRIO PLUS IMAGER AS AWARDED BY THE
NATIONAL SCIENCE FOUNDATION '
Approval was given for the purchase of a Typhoon Trio-Plus Imager at a total cost
not to exceed $151,565 and consistent with the National Science Foundation
guidelines.
L. RESEARCH DEVELOPMENT FUND
The Board of Regents approved the $271,591 allocated to SFA through the
Research Development Fund and this amount was added to the FY 2005-06
budget for distribution, through a rigorous, competitive process coordinated by
the Office of Research and Sponsored Programs, to research projects that will
increase the university's research and/or increase the university's competitiveness
in acquiring external funds for research.
The following note was added to the Financial Affairs item in Board Order 06-05
by the Board of Regents at their January 19, 2006 board meeting:
Research Development Fund (Clarification)
The original board item incorrectly noted that the Research Development Fund
involved an additional appropriation beyond that which was originally
appropriated by the Legislature and augmented the budget to add $271 591 to the
University's total budget. These funds were included in the original Legislative
appropriation and the University's budget should not have been increased. These
funds will still be expended as noted, but are not an addition to the budget.
M. EXPENDED FUNDS FROM RURAL NURSING TNTTTATTVF
The purchase of biology equipment to equip a new anatomy and physiology
laboratory was approved, as a part of the special item appropriation for the Rural
Nursing Initiative, at a cost not to exceed $65,000.
12
BUILDINGS AND GROUNDS
06-06
Upon motion by Regent Green, seconded by Regent Pond, all members voting aye, it was
ordered that the following Buildings and Grounds Items be approved:
A. BASEBALL/SOFTBALL COMPLEX—APPROVAL OF SITE
The Baseball/Softball Complex will be located at the corner of University Drive
and Starr Avenue on property owned by the university, subject to final approval
by the Corps of Engineers.
B- REQUEST FOR PROPOSAL-BASEBALL/SOFTBALL COMPLEX-ARCHITECT
The university was authorized to issue a Request for Proposal for a project
Architect. Proposals will be reviewed by staff and a recommendation will be
made to the Building and Grounds Committee when complete.
REQUEST FOR PROPOSAL- BASEBALL/SOFTBALL COMPLEX
CONSTRUCTION MANAGER AT RISK
The university was authorized to issue a Request for Proposal for a project
Construction Manager. Proposals will be reviewed by staff and a recommendation
will be made to the Building and Grounds Committee when complete.
D. HOUSE SALE
The university was authorized to sell the house and 2 acres of land located at 1256
FM 2664 at the list price of $150,000.
E. BOILER REPLACEMENTS
The university was authorized to replace two boilers in PPII, and the President
was authorized to sign the necessary contracts and purchase orders. The Physical
Plant will serve as general contractor. The estimated cost is $350,000, and the
source of funds will be the Series 2002 Tuition Revenue Bonds Proceeds
Account.
13
F. OUTSIDE CABLE PLANT UPGRADE
The Board of Regents approved the funding of the project to pull new
telephone/data cable with sufficient capacity to provide service for the renovated
Student Center, the new Lumberjack Village, the new Student Recreation Center,
and other anticipated construction on the south end of campus for a sum not to
exceed $85,000, source of funding O&M.
G. CHEMISTRY BUILDING IMPROVEMENTS
The university was authorized to proceed with the renovations required by the
State Fire Marshall in the Chemistry Building with the physical plant acting as
general contractor and the President was authorized to approve the required
contracts and purchase orders. Work not to exceed $150,000 source of funds
HEAF.
H. SELECTION OF ELECTRICITY PROVIDER
The university was authorized to begin the selection process for selection of an
electricity provider for September 1, 2006. Recommendations for a provider will
be brought to the Board for final approval.
UNIVERSITY POLICIES AND PROCEDURES
06-07
Upon motion by Regent Ertz, seconded by Regent Green, all members voting aye, it was
ordered that the following university policy and procedure items be approved:
A. APPOINTMENT OF PUBLIC INFORMATION COORDINATOR FOR THE
BOARD OF REGENTS ~~
The Board of Regents designated either Yvette Clark or Lynda Langham as their
Public Information Coordinator.
B. POLICY REVISIONS
The Board of Regents adopted the policy revisions as presented in Appendix 2.
C. BOARD RULES AND REGULATIONS
The Board of Regents adopted the updated rules and regulations as presented to
the board in their notebooks and as attached in Appendix 3.
14
REPORTS
A. FACULTY SENATE
Chair-Elect Chris Barker presented a report on the following topics:
Office space transfer
. Increased enrollment/faculty salaries/salary compression
. Survey of faculty regarding joining a system
. Acknowledging improved communication and campus involvement by
administration
B. STUDENT GOVERNMENT ASSOCIATION
SGA President Amber Lara introduced the Vice President and Speaker of the Senate.
She gave a report on the general student scholarship awarded by the SGA, the
selection process for the student regent, and spoke about the student volunteers for
Hurricane Katrina.
C COLLEGE OF SCIENCES AND MATHEMATICS REPORT
Dean Anthony Duben gave a report on the Coccidiosis research project at SFA and its
potential economic value to the university.
D. BUILDING CONSTRUCTION REPORT
Mr. John Rulfs gave an update on all the current and proposed campus construction
projects.
E. ENROLLMENT MANAGEMENT
Executive Director of Enrollment Management, Ms. Monique Cossich, reported on
FY05 enrollment efforts and plans for FY06. Ann Oleson, a consultant with
STAMATS, presented the results of a study of nonmatriculant students done bv her
firm in August, 2005.
F. AUDIT SERVICES REPORT
Ms. Gina Oglesbee reported on progress toward the "best practices" goals of the
Governor's Executive Order Regarding Fraud. She updated the board members on the
audit plan for FY06.
G- VICE PRESIDENT FOR UNIVERSITY ADVANCEMENT
Dr. Jerry Holbert reported on the marketing efforts during the past fiscal year as well
as the fundraismg results during FY05 with a total reported in gifts to the university
of $8,701,594.
15
H. PRESIDENT
President Tito Guerrero gave an update on the progress of the search for the Vice
President for Finance and Administration. The President will be attending the
Coordinating Board Meeting on October 27, 2005, and will be giving the State-of-the-
University Address at the Fourth Friday Luncheon of the Nacogdoches County Chamber
or Commerce on October 28, 2005. Homecoming activities are scheduled for the
weekend of October 28 through 30, 2005. On November 5, 2005, SFA will host
Showcase Saturday for prospective students and their families along with the UC-Davis
football game. The President reported that the Mentor Ring Big Dip ceremony will again
be conducted on Friday, a week before Commencement, and is becoming a tradition for
students and their parents. Fall Commencement will be held on December 17 2005
Upon motion by Regent Green, seconded by Regent Ertz, with all members voting aye
the meeting was adjourned at 11:20 a.m. The next regular meeting of the Board of '
Regents is scheduled for January 18 and 19,2006
16
Underenrolled Classes for Fall, 2005
Appendix 1
Appendix 2
Policies for Board Review
October 20,2005
Appendix 2
Policies for Board Review
October 20, 2005
Appendix 2
Kennedy Auditorium B-16
Original Implementation: September 1, 1975
Last Revision: July 11,2005 October 20, 2005
The provisions of University Policy B-l, Use of University Facilities, govern the use of
all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under
the control of Stephen F. Austin State University. That policy provides that the
University may establish additional procedures for the reservation and use of specific
facilities; therefore, the following provisions apply to the Kennedy Auditorium.
Reservations for the Kennedy Auditorium must be made with the Dean of the College of
Sciences and Mathematics.
1. No event is scheduled for which an admission fee is charged.
2. Verification is required from the University Center that no space in the University
Center is available prior to allowing student organizations to use the Kennedy
Auditorium.
3. The University is not responsible for items left in the auditorium.
4. It is the responsibility of the person making the reservation to obtain needed equipment
such as a podium, projector, public address system, etc.
5. Persons reserving the auditorium will be responsible for keeping the facility clean and
for repairing any damage.
6. No materials are to be taped or in any way affixed to the walls, doors (interior or
exterior), chalkboards or screens without prior written approval.
Violation of the above regulations will result in denial of future use.
Source of Authority: Board of Regents, President, Vice President for Business
A&aksFinance and Administration
Cross Reference: B-L Use of University Facilities
Contact for Revision: Dean of the College of Sciences and Mathematics
Forms: None
Appendix 2
University Center Operations B-29
Original Implementation: 1966
Last Revision: October 23, 2003 October 20, 2005
GENERAL OPERATIONS
1. Reservations in the University Center are made through the Coordinator of University
Reservations and Conferences, referred to hereinafter as the Coordinator.
2. It is the responsibility of the Sponsoring Agency to ensure that the programs, related
activities, and printed material are accessible to persons with disabilities. The University
does not accept responsibility for insuring that the programs or activities of the group are
in compliance with the provisions for the Americans with Disabilities Act. Questions
regarding accessibility of facilities for a specific program being held in the University
Center should be directed to the Coordinator.
3. Tho Nibbler's Nook is a non rosorvablo area for general use by tho public during
regular operating hours.
43. Lounges are primarily intended for general use by the public. Limited use of the areas
for active programming will be allowed upon approval of the Director of Auxiliary
Services. Approval will depend upon several variables that will include time, size, and
type of program.
$4. Animals or pets of any kind, excluding, service animals shall not be permitted in the
building at any time.
65. Individuals or groups reserving space in the University Center shall be responsible for
the behavior of their members and guests and also shall be responsible for any damage
caused by their guest or members.
7-6. Failure to comply with the Operations Policy or with requests of the persons
enforcing this policy may result in suspension of privileges to use the University Center
and/or lead to action under the University disciplinary code.
&7. Disorderly conduct and disturbing the peace shall not be permitted in the University
Center and may lead to disciplinary action.
9£. Alcoholic beverages will be permitted in the University Center for receptions or
meals (only if catered or sold through a licensed vendor and approved in advance by the
President)
. Card playing or table games may be played only in the Games Area or in rooms
reserved for such purposes. No such games will be played in the dining area, the Hungry
Jack Inn, theNibblor'sNookor lounge areas. Gambling in the building is prohibited.
Appendix 2
+4-70. No classes, lectures, laboratories, tests or any type of class for credit shall be
scheduled in the University Center, except under extenuating circumstances.
4577. The University Center will not be responsible for any articles lost in the building.
4472. Food and drinks shall not be permitted on the second floor of the building except
when provided by University Center personnel for approved reservations. Food and
beverages are not allowed in the carpeted lounge areas without prior arrangements with
the Coordinator.
4475. Electrical circuits shall not be altered nor connected to, except through outlets
provided and with the approval of the Coordinator.
4474. Equipment and furnishings assigned to the University Center shall not be removed
from the immediate vicinity of the University Center for any reason, except upon
permission from the Director of Auxiliary Services.
4-675. The public address system shall be used for music and official announcements
only.
. Skates, skateboards, bicycles or bikes of any kind are not allowed inside the
University Center.
18. Presidents and sponsors of student organizations may rent tables and chairG for
activities adjacent to the University Centor after the activity has boon approved by tho
Diroctor of Student Affairs. Tables and chairs must bo rontod with tho Coordinator.
Tables must be chocked out and chocked back in at tho University Center Information
Desk (See charges).
DISTRIBUTION OF PROMOTIONAL MATERIALS
1. Only University organizations, including academic departments, registered student
organizations, faculty and staff organizations, other organizations and entities officially
associated with the University and the Alumni Association may display or distribute
promotional materials in the University Center after following established procedures.
Promotional materials include literature, publications, and posters.
a. The promotion of commercial enterprises is prohibited.
b. Promotional materials must be registered and filed with the Office of Student
Affairs
c. Posters and banners must be registered by the Coordinator.
d. Posters shall not exceed 14" X 22".
Appendix 2
e. Banners shall not exceed 18 feet long by 21" tall.
f. Posters may be put up within five (5) days prior to the event or earlier if the
space is available and shall be limited to three (3-2) posters per event in the
University Center at any one time. Any exceptions must be reviewed and
approved by the Director or Auxiliary Services. Posters will not be displayed for
longer than two weeks.
g. No posters or decorations will be placed on the building proper, including
posts, porches, terraces, doors, walks, walls, fountains, planters, floors, or
draperies.
h. Banners may be hung in designated areas of the University Center.
i. After the scheduled event, University Center personnel will remove and discard
all posters and banners.
j. Banners will not be posted longer than two (2) weeks.
2. After registration, any materials to be displayed on the tables in Food Service areas
must be taken to supervisory personnel of the respective dining areas for distribution
instructions. Material may not be distributed in cafeterias during dining hours.
POLITICAL CAMPAIGN POLICY
1. No political campaign posters of students or non-students will be posted in the
University Center.
2. Campaign literature of student candidates with permission of the cafeteria manager
may be placed on the tables in the cafeterias if the literature does not include fund or
membership solicitation.
3. Posters or flyers announcing political events, registered for campus, may be posted in
the University Center or distributed on cafeteria tabletops in conformance with
University Center policy. Only the name of the candidate, the date, time, place and
sponsoring organization may be on posters or flyers announcing a political event.
4. Candidates for political office, both student and non-student, may casually visit with
students, personnel, or other patrons in the University Center to solicit votes. Distributing
campaign literature or cards will be prohibited in the University Center.
5. Political Candidates may reserve rooms for meetings following all University Center
policies and subject to all applicable charges.
Appendix 2
SOLICITATION
1. Selling, canvassing, petitioning, fund raising, surveying and membership drives by
approved student organizations, will be permitted in the University Center after
registration with the Director of Auxiliary Services and the Office of Student Affairs
University departments, faculty and staff organizations, the Alumni Association and other
organizations and entities officially associated with the University must seek approval
from the Director of Auxiliary Services. Reservations for tables and space in the
University Center must then be made with the Coordinator.
2. No group, except for University departments and the Alumni Association with
approval, shall act as an agent for a commercial company.
3. Fund raising or charitable solicitation and the sale of products or services by
community organizations or.businesses are prohibited in the University Center. This
regulation shall not apply to University functions as defined in the University Solicitation
Policy.
4. Solicitation for newspaper delivery may be conducted in the University Center on days
designated by the Director of Auxiliary Services in areas assigned by the Coordinator. All
newspaper solicitors will have equal space.
5. Commercial cable service providers under contract with Stephen F. Austin State
University may conduct solicitation in the University Center on days designated by the
Director of Auxiliary Services in areas assigned by the University Center Coordinator.
BUILDING HOURS
1. The main portion of the University Center will be open daily from 6:30 a.m. until 9:00
p.m. The building will open Saturdays at 7 a.m. and Sundays at 8 a.m. There will be a
late charge, for those who reserve rooms, for each additional hour after 9:00 p.m. The
University Center may stay open late without charge for a University-sponsored event
The Nibblor'o Nook and Post Office areas will be open 24 hours daily. Cafeterias and the
Hungry Jack Inn will be open according to posted schedules.
2. All events in the University Center will conclude by 12 midnight, Sunday through
Thursday and by 1 a.m. Friday and Saturday. All patrons of the facilities are to vacate the
center immediately after that time. No student, faculty or staff member, except by
permission of the Director of Auxiliary Services shall remain in the University Center
after it is officially closed.
3. Hours of operations of the various areas and closing of the building between semesters,
on holidays, and during summer semesters shall be at the discretion of the Director of
Auxiliary Services.
Appendix 2
DECORATIONS
1. Organizations or individuals conducting activities in the University Center may request
assistance with decorating needs from the Special Services Manager. Arrangements for
decorations will be made with the Coordinator.
2. There is no charge for using the table decorations from the existing inventory, for
catered meals and receptions. Groups and individuals reserving rooms are responsible for
safekeeping of arrangements and will be charged for loss or damage. If UC linen
tablecloths are used, no crepe paper may be used due to fading. There will be charges for
the use of UC linen on non-food tables.
3. Delivery of decorator items from the University Center to other buildings is prohibited
except as approved by the Director of Auxiliary Services and with appropriate charges.
4. The University Center will not store items overnight for patrons. All items, including
balloons, brought into the Center for decorating purposes must be removed immediately
following the event. Trash bags may be supplied by the UC custodial service for balloon
and trash removal.
5. The University Center shall not be responsible for any articles left in the building.
6. Decorations will be attached only to self-supporting scaffolding and/or attachments
provided for decorating purposes. Standards, easels, room dividers, or tack boards are
available and may be requested through the Coordinator.
7. Excessive decorating requests such as: hanging and removing items from the ceiling or
sides of the room above the existing wires, activities requiring the use of scaffolding,
ladders and electrical hookups will be charged a maintenance fee. (See charges)
8. The use of adhesive tape, glues including spray glue and hot glue, tacky tape, thumb
tacks, masking tape or nails on doors, posts, ceilings, walls, floors or fixtures is
prohibited.
9. The use of hay or other flammable materials will not be permitted in the UC without
prior approval.
10. Decorations must be constructed by the organization outside the facility. Sawing,
painting or hammering, other than joining complete sections, must be done outside the
building.
11. In case of special decorating needs, check with the Coordinator. A time may be
established for entry into the facility for the purposes of decorating with appropriate
charges.
Appendix 2
12. Services and equipment provided at no charge are subject to availability, and working
conditions.
RESERVATIONS
1. Reservation Books are opened the first working day of the new calendar year for the
following calendar year. The general policy is to honor reservations on a first-come, first-serve
basis. Regular summer camps and special University functions will automatically
be scheduled for the corresponding dates each year.
2. Reservation contracts must be confirmed and the reservations document signed or
confirmed by email by the reserving person two weeks prior to each event. Unconfirmed
reservations after this time will automatically be canceled.
3. Reservations will not be accepted the day of the event.
4. The scheduling of activities, facilities, or equipment for recognized University clubs
and organizations must be made by a group officer or the sponsor of the organization.
5. Failure to use or release a University Center facility forty-eight hours prior to the event
may result in the group paying the regular room rates.
6. Groups scheduling activities with an expected attendance of 700 or more are required
to secure the services of a University Police Officer.
7. Commercial enterprises are normally not permitted to reserve or use space in the
University Center for purposes of promotion or selling. The Director of Auxiliary
Services may approve a commercial enterprise entering into an agreement with the
University Center for solicitation within the center, provided the activity has cultural or
educational value.
8. Changes in physical set-up of reserved space must be arranged with the Coordinator or
after office hours with the University Center Night Manager. Requested changes will
only be accommodated as time permits and will be subject to charges.
9. Off campus groups or individuals may be required to make a prepayment of three
fourths of the expected total bill two weeks before the event.
10. Groups and individuals with outstanding bills or debts owed to the University Center
will have their reservation privileges in the UC suspended.
11. Only food and beverage prepared by the University Center Food Service will be
served in the meeting and dining rooms of the University Center. A Catering Booklet
with menus and University Center charges is available in the Coordinator's office and on
the catering website at http://www.sfasu.edu/auxsvcs/pricelist/-:
Appendix 2
12. Only registered university organizations may reserve tables adjacent to the lounge
areas in the University Center.
13. Events that will continue after 9 p.m. must be scheduled at least two (2) weeks prior
to the event.
14. Use of University facilities or services are subject to be changed or cancelled based
upon priority needs of the University as determined by the Director of Auxiliary Services.
TECHNICAL SERVICES
1. The University Center will provide technical equipment if available. See the
Coordinator for a list of available equipment and prices, visit
http://www.sfasu. edu/auxvcs/pricelist/- Reservations for the event and technical
equipment are made with the Coordinator two weeks before the event. Late additions of
technical equipment to the order must be made at least two days prior to the event and a
late charge will be assessed (See charges).
2. Only University Center personnel will be permitted in the Technical Service booth
above the Grand Ballroom.
3. University Center technical equipment will not be taken from the University Center
except by approval of the Director of Auxiliary Services and with the appropriate
charges.
FACILITY USAGE BY APPROVED STUDENT ORGANIZATIONS AND
UNIVERSITY DEPARTMENTS
1. Approved student organizations and University departments will be permitted to use
University Center facilities for non-catered events at no charge.
2. Any dance sponsored by an approved student organization must have prior approval
from the Dean of Student Development before room reservations will be made. Dances
will be limited to one (1) per month per organization.
3. Student organizations will be allowed two (2) hours per week for series meeting
purposes. Exceptions must be approved by the Coordinator. Series meetings are
scheduled by email on a first come first served basis._Once the series is confirmed and the
reservation is processed, changes will not be made without a fee. If two weekly series
meetings are missed the series will be canceled.
4. An activity scheduled to continue past 12 midnight must be supervised by a University
police officer(s). A fee will be assessed for UPD service in addition to the UC late
charge.
10
Appendix 2
FACILITY USAGE BY OFF-CAMPUS GROUPS
1. Off-Campus groups which are sponsored by a University department may use the
University Center facilities without room charges.
2. Off-Campus groups without a University department sponsor shall be permitted to use
the facilities of the University Center and will be subject to guidelines and charges.
CATERING
See Catering Booklet or access the Catering website at
<http://www.osa.sfasu.edu/auxser/catering.html> on the internet.
CAMPUS LOST AND FOUND
The University Center shall maintain a campus Lost and Found Department at the
Information Desk. (See Disposition of Abandoned Personal Property policy in the SFA
Policy and Procedure Manual).
CHARGES
See University Center price list at our web site
<http://www.auxser.sfasu.edu/uc/pricelist.html> on the internet.
Source of Authority: Board of Regents, President, Vice President for University Affairs
Cross Reference: None
Contact for Revision: Director of Auxiliary Services
Forms: None
11
Appendix 2
Memberships C-17
Original Implementation: September 1, 1982
Last Revision: July \ ^October 20, 2005
All memberships are held in the name of the University. Memberships that clearly relate
to the University as a whole may be paid from the University's Institutional Membership
account, subject to available funding and President's approval. Memberships relating to
specific departments or functions are funded from departmental or college accounts.
Requests for approval of memberships are processed electronically through the online
Financial Records System (FRS) using Requisition Type 'DM'.
All memberships must be approved at the president's or vice president's level. This
approval may not be delegated.
Memberships to be funded from the University's Institutional Membership account must
be routed to the President's Office for requisition entry.
Memberships in a Chamber of Commerce may not be purchased with state funds.
Source of Authority: Texas Government Code, Section 2113.104; State Comptroller
Purchase Policies and Procedures Guide, July 2004, Section 2.036; President; Vice
President for Business Affairs Finance and Administration.
Cross Reference: Purchase Requisition, Policy C-30
Contact for Revision: Director of Purchasing & Inventory
Forms: None
12
Appendix 2
Purchasing Ethics and Confidentiality C-33
Original Implementation: Unpublished
Last Revision: July 8, 2004October 20, 2005
Credibility and public confidence are vital throughout the purchasing and contracting
process. If any involved party displays a lack of honesty, integrity or openness, the entire
program is injured. Even the shadow of doubt can be as harmful as the conduct itself.
Any SFA employee involved in any form of procurement or the procurement process
may not:
• participate in work on a contract by taking action as an employee through decision,
approval, disapproval, recommendation, giving advice, investigation or similar action
knowing that the employee, or member of their immediate family has an actual or
potential financial interest in the contract, including prospective employment;
• solicit or accept gifts or gratuities which might tend to influence purchasing decisions;
• be employed by, or agree to work for, a vendor or potential vendor;
• knowingly disclose confidential information for actual or anticipated personal gain, or
for the actual or anticipated gain of another person.
When an actual or potential violation of any of these standards is discovered, the person
involved shall promptly file a written statement concerning the matter with an appropriate
supervisor. The person may also request written instructions and disposition of the
matter.
Written disclosure must be submitted to the President for any contract of$l million or
more in value. Reference Ethics Policy E-56for specific information regarding the
disclosure.
If an actual violation occurs or is not disclosed and remedied, the employee involved may
be either reprimanded, suspended, or dismissed. The vendor or potential vendor may be
barred from receiving future contracts and/or have an existing contract canceled.
If not related to a particular transaction, University employees may accept from vendors
and others: (1) unsolicited advertising or promotional material such as pens, pencils,
scratch pads, and calendars; (2) occasional business lunches or food and refreshments of
insignificant value; and (3) other items of nominal or minor value (i.e., a box of candy or
fruitcake, etc.) that are merely tokens of appreciation. Refer to Ethics Policy E-56for the
statutory definition of a ft benefit. "
13
Appendix 2
Purchasing professionals have the right under law to have any ethics question reviewed
and decided by the State Ethics Commission. If you wish to learn whether a specific
action violates the ethics rules, please contact the State Ethics Commission, 1101 Camino
La Costa, Austin, Texas 78752 or call them at 1-800-325-8506.
Source of Authority: Vice President for Business Affairs Finance and Administration,
Texas Government Code 2262.004
Cross Reference: NeneEthics Policy E-56
Contact for Revision: Director of Purchasing and Inventory
Forms: None
14
Appendix 2
Investments - Endowment Funds C-41.A
Original Implementation: Unpublished
Last Revision: April 30, 2001 October 20, 2005
GENERAL
This Investment Policy Statement (IPS) applies to all Stephen F. Austin State University
(the "University") endowment funds. These funds are given to the University by
individuals and institutions to promote, encourage and advance education and to improve
the degree and non-degree educational functions by establishing scholarships,
fellowships, professorships, academic chairs and other academic endeavors at the
University, as specified by donors.
As provided in the Texas Education Code, each member of the Board of Regents (Board)
has the legal responsibilities of a fiduciary in the management of funds under the control
of the University. The Board recognizes its responsibility to insure that the assets of the
endowment funds are managed for the exclusive benefit of the University in accordance
with its donors' intentions, effectively and prudently, in full compliance with all
applicable laws.
Separate fund balance accounts are maintained for all funds. Funds may be restricted
either by the donor or the Board. Restricted funds are available primarily for specific
purposes considered beneficial to the University.
The investment of the Endowment funds is governed by Section 51.0031 of the Texas
Education Code. This section states that the University "... with regard to donations, gifts
and trusts may establish endowment funds that operate as trusts and are managed under
prudent person standards. As used in this section, "prudent person standard" is the
standard of care described in Article VII, Section 1 lb. of the Texas constitution, and
means that standard of judgment and care that persons of ordinary prudence, discretion,
and intelligence exercise in the management of their affairs in regard to the investments
of their funds, considering probable income as well as probable safety of their capital.
In the management of the University endowment investments, consideration will be given
to the need to balance a requirement for current income for present activities with a
requirement for growth in principal to compensate for inflation. Consideration will be
given to the need for safety of principal, liquidity, diversification, yield and quality.
The overall objective of the IPS is to assure that the University's endowment funds are
invested in a manner to achieve as high a level of return as can reasonably be expected to
be achieved given the primary objective of safety and preservation of principal. The IPS
clearly and concisely states the responsibilities of all parties involved with the
15
Appendix 2
endowment funds. The IPS will assist the Board, the Finance Committee ("Committee")
and the University Administration in effectively communicating with and monitoring the
investment manager(s) and the investment firm(s) that will be engaged from time to time
to facilitate the management of the endowment assets of the University. It states the
Boards' attitudes, guidelines and objectives in the investment of the endowment assets.
RESPONSIBILITIES
The University acknowledges that the ultimate responsibility for satisfactory investment
results rests with the Board. The Board believes that this responsibility is best discharged
by delegating certain authority to the University administration and by appointing one or
more investment management organizations to assume certain responsibilities.
The specific responsibilities of the Board in the investment process include and are
limited to developing a sound and consistent investment policy, developing sound and
consistent investment policy guidelines, establishing reasonable investment objectives,
allocating the endowment assets between equity and fixed-income investments, and other
investment mediums which it may deem appropriate and prudent, communicating clearly
the major duties and responsibilities of those accountable for investing the endowment
assets and achieving investment results, evaluating performance results, and abiding
within all applicable laws, including conflict of interest provisions therein.
The Vice President for Buoinoso Affairs Finance and Administration (Vice President) is
designated as the investment officer for the University. As such, the Vice President or
designee(s), is responsible for accounting for investments, monitoring and evaluating
performance results, and ensuring that policy guidelines are being adhered to and
investment objectives are being met. In addition, the Vice President or designee(s), is
responsible for the purchase, sale, assignment, transfer and management of investments,
for communicating with investment managers, brokers and dealers, for compiling
performance results, and for determining the proper distribution of investment returns to
the various accounts. The Vice President is also responsible for determining the
appropriate distribution of income in accordance with the distribution policy in the
distribution policy section. The Vice President will submit an annual investment
perspective to the Board of Regents.
INVESTMENT POLICY
The Board believes that the endowment assets should be managed in a way that reflects
the application of sound investment principles.
The Board adheres to the traditional capital market theory that maintains that over the
long term, the risk of owning equities should be rewarded with a somewhat greater return
than available from fixed-income investments. This reward comes at the expense of
higher volatility of returns and more exposure to market fluctuations than with fixed-income
investments. Fixed-income investments provide a more predictable return and
higher current income than do equities. Thus assets should be allocated between fixed-
16
Appendix 2
income investments and equities are such a manner as to provide for current income
while providing for maintenance of principal in real terms.
Avoiding large risks is essential. The University is willing to trade off some potential
opportunities for gain from high-risk investments (with high loss potential) by assuming a
moderate-risk posture in order to have a more stable positive return. This may result in
sacrificing some potential opportunities for gain during rising markets in order to avoid
large short term declines in market value during falling markets. Since the University is
adverse to large downward fluctuations in the value of its investments resulting from
volatile market value fluctuations, such year-to-year volatility should be minimized.
INVESTMENT POLICY GUIDELINES
For the purpose of this policy all securities which use long-term, credit ratings must be
rated the equivalent of "A" or better by a nationally recognized credit rating service.
Securities using short-term credit ratings must be rated at least A-2, P-2, F-2 or the
equivalent by a nationally recognized credit rating service.
The following categories of securities are permissible investments:
a) Direct obligation of the United States Government or its direct agencies.
b) Direct obligations of federally-sponsored agencies in accordance with
the above paragraph.
c) United States dollar denominated bonds, debentures, or commercial
paper and convertible securities issued by corporations in accordance with
the above paragraph.
d) Common stock and preferred stock issued by United States domiciled
corporations and common stocks of foreign companies listed on the major
U.S. or foreign security exchanges.
e) Certificates of Deposit issued by federally insured state banks, federally
insured savings and loan associations and saving banks or federally
insured credit unions. Amounts over the insurance limit of the institutions
must be secured by pledged securities.
f) Bankers acceptances accepted by a bank organized and existing under
laws of the United States or any state in accordance with the above
paragraph.
g) Money Market Mutual Funds. Funds must be registered with the
Securities and Exchange Commission, have a maximum dollar weighted
average maturity of no longer than 13 months, and be no-load funds. Funds
17
Appendix 2
must have assets consisting of securities described in the paragraphs above
and seek to maintain a stable net asset value of $1.00 per share (or unit).
h) Direct Security Repurchase Agreements. Direct Repos must be fully
secured (collateralized) by securities authorized under the sections (a)
through (f) above. Such collateral must be held by a third party. All
agreements will be in compliance with Federal Reserve Bank guidelines.
i) Shares of investment companies as defined by the Investment Company
Act of 1940. These companies include both closed-end investment
companies and open-end investment companies (mutual funds). Shares in
these companies may be purchased if they own securities described in
sections (a) through (h) above.
j) Certain types of transactions and purchase of certain types of securities
are specifically prohibited by this policy. Commodity trading including all
futures contracts, purchasing of letter stock, short selling, option trading,
and margin trading are specifically prohibited. Neither tax-exempt debt of
state and local governments, private placements, nor guaranteed
investment contracts may be purchased. No investments will be made in
derivative products as defined by the Financial Accounting Standards
Board in SFAS, No. 119. Collateral mortgage obligations that do not pass
the FFIEC test may not be purchased.
k) Assets and/or funds reportable within the scope of the University's
annual financial report may not be invested in or used to purchase
securities, including obligations, of a private corporation or other private
business entity that owns 10% or more of a corporation or business entity
which records or produces any song, lyrics or other musical work that
explicitly describes, glamorizes or advocates:
(1) acts of criminal violence, including murder, assault,
assault on police officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group,
sexual orientation, or religion.
18
Appendix 2
1) Except for up to three cases, no more than five percent (5%) of the
portfolio, including convertible securities, can be invested in any one
company. This will be measured on a cost basis. No more than ten percent
(10%) of the portfolio can be invested at any time in one company based
on the market value of the stock and portfolio. This section is not
applicable to investments in U.S. Government securities.
m) No more than fifteen percent (15%) of the portfolio can be invested in
any one industry, as defined by Standard and Poor's broad categories,
based on the cost value of the portfolio. No more than thirty percent (30%)
of the portfolio can be invested in any one industry based on the market
value of the portfolio. The holdings do not have to be invested in industry
groups that represent a cross-section of the economy.
n) All of the equities purchased for the portfolio (based at market value)
should have a minimum market capitalization of $250 million.
The allowable range and target asset allocation for the endowment funds
is:
Class Allowable Target
I | Range
j Equities | 0%-70% 60%
| securities j
Fixed | 0% - 60% j 40% I
income I ] \
securities j j j
Cash or j 0% - 100% j0% \
cash I
equivalents !
For the fixed income portion of the portfolio the asset mix should be,
maximum U.S. government bonds 100%, minimum government bonds
0%, maximum corporate bonds 50%, minimum corporate bonds 0%,
maximum cash 100%, minimum cash 0%.
Gifts of individual securities will be liquidated or transferred to an equity fund manager
currently employed by the University under the Use of Investment Firms section. The
liquidation or transfer will take place as soon as possible. If liquidated, the proceeds will
be invested in accordance with the allowable range and target asset allocation set forth in
this policy. Exceptions to this policy are securities described by sections (a), (b) and (c)
above. Such securities may be held so long as the asset allocation ranges are maintained.
The policy in this section can be overridden by a written directive from a donor.
19
Appendix 2
USE OF INVESTMENT FIRMS
The Vice President or designee, is responsible for selecting of brokers and dealers for the
execution of security transactions and for the safe keeping of securities. Sales, purchases
and exchanges will be transacted through well-capitalized, nationally-recognized
investment firms which are major participants in the equity and fixed-income markets.
Firms should be selected to provide the maximum benefit to the University. The Vice
President may choose to use a request for proposals to select the firm or firms with which
the University deals.
Selection of outside investment managers will follow these guidelines:
a) The Vice President or designee, within statutory and other regulatory
authority, may place selected funds of the University with investment
managers outside the University for investment purposes. The investment
of such funds will be subject to the provisions of this investment policy
statement. The Vice President is authorized to negotiate with outside
investment managers for the benefit of the University.
b) Outside investment manager(s) will receive a copy of the IPS and a
Letter of Instructions outlining investment instructions and asset allocation
parameters expressed in writing by the Vice President. The Letter of
Instructions will state return objectives that are reasonable and achievable
within the guidelines provided herein. These return objectives should be
achieved over a reasonable time frame, thus it is not necessary for the
outside manager(s) to exceed the return expectations each quarter. In
addition, each outside investment manager must execute a written
statement to the effect that the registered principal of the organization has
received and thoroughly reviewed the investment policy of the University.
The statement must also acknowledge that the organization has
implemented reasonable procedures and controls in an effort to preclude
imprudent investment activities.
c) Consistent with this investment policy statement and their Letter of
Instruction, the outside investment manager(s) will be responsible for
making decisions on a discretionary basis. This includes buy, hold, sell
and timing decisions. The outside manager(s) must make responsible
decisions in the selections of specific securities and the general timing of
purchases and sales necessary to achieve a satisfactory overall return for
the assets.
d) Outside manager(s) will invest only into the security class(es) for which
they were retained to manage. The manager(s) have discretion to place
funds into cash, however, their performance will be measured against an
index which measures their security class without deducting the cash
position.
20
Appendix 2
Investment managers employed by the University to invest in equities may be evaluated
using the following guidelines:
a) The average portfolio Beta should be between 1.10 and 0.90. That is to
say that the volatility of the fund should not differ from the volatility of
the S&P 500 by more than ten percent. The Beta calculation should
include any cash position in the portfolio.
b) The R-Squared may be as high as 100% over a time frame of one year
or longer if all investment objectives are met. R-Squared is a statistical
evaluation to measure similarity in behavior of the portfolio to the market.
c) The annualized Alpha should be greater than the managers fee
essentially showing that value is being added for the risk taken. Alpha
measures the excess return for the amount of risk taken.
d) Portfolio turnover will be monitored. If the performance results of the
portfolio meet the objectives stated herein, the rate of turnover in the
portfolio will not be an evaluative factor. However, a portfolio turnover
higher than the average of similar fund managers is considered a negative.
Files will be maintained on investment firms with which the University deals. The files
will contain financial statements for the firms and NASD reports for the brokers and
firms or other appropriate documentation information that supports the financial stability
of the firms. These files will be updated annually. A list of approved brokers and firms
will be maintained and changes will be approved by the Board of Regents.
DISTRIBUTION POLICY
The spending policy should balance the long-term objective of maintaining the
purchasing power to the endowment funds with the goal of providing a reasonable,
predictable, stable, and sustainable level of income to support current needs. Pursuant to
Chapter 163 of tho Uniform Management of Institutional Funds Act, an institution of
higher education may not expend the net unrealized appreciation of tho assets of an
endowment fund. The Vice President may review the nature of the various endowments
to determine the need for income for current spending and the ability to tolerate
variability in current income. The asset allocation between fixed-income securities and
equities may reflect diversification needs of the endowments.
PERFORMANCE EVALUATION
The Vice President will submit quarterly reports to the Board on the performance of the
investment portfolio. The reports will disclose the book value and market value of the
portfolio at the beginning and ending of the reporting period by the type of asset and fund
type invested. The reports will disclose the realized and unrealized gains/losses on the
portfolio for the reporting period. Additions and changes in the market value of the
21
Appendix 2
portfolio during the period will be reported. The reports will show the pooled fund value
as well as individual assets by fund type. The reports will state the maturity date of each
asset that has a maturity date. The total return on the portfolio, on each asset class and for
each manager will be reported.
The performance of the total portfolio, each asset class and each manager will be
compared to appropriate benchmarks and included in the quarterly reports to the Board
The report will contain sufficient information for the Board to determine if actions should
be taken to correct any deficiencies that may exist.
CONFLICTS OF INTEREST
Members of the Board are frequently persons of wide-ranging business interests.
Therefore, a prudent, independent investment decision process may result in investments
in firms or organizations with which a member of the Board is affiliated. Affiliation shall
be interpreted within this section to mean an employee, officer, director, or owner of five
percent or more of the voting stock of a firm or organization. The investment staff or an
unaffihated investment manager may invest in such securities. However, the following
restrictions shall apply:
a) a member of the Board shall not direct nor participate in the decision to
purchase or sell securities of a firm with which such member is affiliated-and
b) investments will not be purchased from or sold to a member of the
Board.
AUDITS
The Department of Audit Services of the University shall include endowment assets as a
component of its annual audit risk assessment. If the department determines that the
endowment assets meet its risk assessment criteria, Audit Services may perform an
annual audit of the endowment assets to ensure compliance with the endowment
investment policy.
Source of Authority: Board of Regents
Cross Reference: Texas Education Code, Section 51.0031
Contact for Revision: Vice President for Businooa Affairs Finance and Administration
Forms: None
22
Appendix 2
Fraud Policy Reporting Fiscal Misconduct C-46
Original Implementation: Replaces Reporting Fiscal Misconduct Policy C-46
implemented January 28, 7997January 28, 1997
Last Revision: October 31, IQQOOctober 20, 2005
INTRODUCTION
This policy establishes procedures and responsibilities for detecting, reporting and
resolving instances of known or suspected fiscal misconduct fraudulent activity The
intent of the policy is to protect the assets and interests of the University, prescribe a
coordinated approach toward investigation and resolution of fraudulent activity&seeA
mioconduct and outline specific responsibilities for individuals responding to the
investigation of a fraudulent activityfacal misconduct event. Retaliation for filing a good
faith report regarding suspected fraudulent activityfiacal misconduct is prohibited by this
policy, and is cause for disciplinary action, up to and including termination.
A) University - Stephen F. Austin State University and all of its components, regardless
of the source of funding.
B) Employee - All persons receiving compensation /rompersonnol employed b> the
University, including faculty, staff, and students. The term also includes any volunteer
who provides services to the University through an official arrangement with the
University or a University organization.
C) Management - Any administrator, manager, account holder, director, supervisor or
other individual who manages or supervises funds, assets or other resources, including
human resources.
D)G) Fraud - Fraud is defined as a representation usually of fact about a material point
which is intentionally, knowingly or recklessly false which is believed and acted upon by
a victim to the victim's damage.
E) Fraudulent Activities/Fiscal Misconduct - Defalcation, misappropriation, and other
fiscal irregularities or improprieties^ meeting the definition of fraud in D) above
including but not limited to:
1) dishonest, illegal, or fraudulent acts involving University property;
2) forgery or alteration of documents including checks, drafts, promissory notes,
aad-securities, purchase orders, budgets, etc.;
23
Appendix 2
3) forgery or unauthorized alteration by employees of employee benefit or
salary-related items such as time sheets, payroll documents, billings, claims,
surrenders, assignments, or changes in beneficiary;
4) forgery or unauthorized alteration by employees of student related items such
as grades, transcripts, loans, fees, financial aid applications, financial aid records;
5) misappropriation of funds, securities, supplies, or any other asset of the
University;
6) illegal or fraudulent handling or reporting of money transactions;
7) employee acceptance or solicitation of any gift, favor, or service that might
reasonably tend to influence the employee in the discharge of his or her official
duties;
8) theft, destruction or disappearance of records, furniture, fixtures, ^equipment
or other records or assetswhere thoft is suspected,^
9) misrepresentation of information on documents;
10) authorizing or receiving payment for goods not received or services not
performed;
11) knowing, reckless, or intentional inaccuracies in the maintenance of books
and records or irregularities in financial reporting;
12) any apparent violation of Federal, State or local laws related to dishonest
activities or fraud;
13) any similar or related activity.
FD) Suspected Fraudulent ActivityFiacal Mioconduct - A reasonable belief or actual
knowledge that fraudulent activityfiocal mioconduct has or is occurring. Failure to show
an actual diversion of assets or loss shall not be considered unreasonable belief.
POLICY AND PROCEDURE
Any employee of tho University who lmowa of or ouspocto fiacal mioconduct num
promptly notify hio or hor immodiato ouporvioor and/or one of the following inveotigativi
unita: tho Dopartmont of Audit Sorvicoo, the Office of General Counsel, the Univcraity
Police Department or the Pcroonnol Department. The Univoroity Police Department or
Office of General Counocl arc the preferred primary contacto. The unit contacted ahull
24
Appendix 2
contact tho remaining throe units as appropriate to establish tho necessary investigative
team and procedures.
All affected departments and/or individuals shall cooperate fully with the investigative
team to identify whether or not actual fiscal misconduct has occurred.
The investigative team shall update University administration of the progress of all
investigations. Tho scope of and individuals subject to investigations arc to bo considered
in determining the extent and nature of notification.
The results of all investigations will be reported to the President of the
University.MANAGEMENT RESPONSIBILITY
Management is responsible for detecting fraudulent or related dishonest activity in their
areas of responsibility. Management is responsible for establishing and maintaining a
system of internal control that provides reasonable assurance that improprieties are
prevented and detected. Each manager should be familiar with the types of improprieties
that might occur in his or her area and be alert for any indication that such a defalcation,
misappropriation, or other fiscal irregularity has occurred. When an impropriety is
suspected, management should determine if an error or mistake has occurred or if there
may be dishonest or fraudulent activity.
Management will support the University's fiduciary responsibilities and will cooperate
with auditors and law enforcement agencies in the detection, investigation, and reporting
of criminal acts, including prosecution of offenders. Every effort should be made to
recover University losses.
REPORTING SUSPECTED IMPROPRIETY OR ERA UDULENT ACTIVITY
Any employee of the University who knows of or suspects fraudulent activity or
improprieties must promptly notify his or her immediate supervisor and/or one of the
following investigative units: the Department of Audit Services, the Office of General
Counsel, the University Police Department or the Human Resources Department. The
unit contacted shall contact the remaining three units as appropriate to establish the
necessary investigative team and procedures.
Great care must be taken in the reporting and investigation of suspected improprieties or
irregularities to avoid incorrect accusations or alerting suspected individuals that an
investigation or audit is underway and also to avoid making statements which could
provide a basis for a lawsuit for false accusation or other offense. The reporting
individual should not:
25
Appendix 2
1) contact the suspected individual to determine facts or demand restitution; or
2) discuss the facts, suspicions, or allegations associated with the case with
anyone, unless specifically directed to do so by the Department of Audit Services,
University Police, or Office of the General Counsel
To the extent permitted by the applicable provisions of the Texas Open Records Act,
confidentiality of those reporting dishonest or fraudulent activities will be maintained.
However, the confidentiality cannot be maintained if that individual is required to serve
as a witness in legal proceedings.
The University will maintain an anonymous reporting system through the Department of
Audit Services for reporting dishonest or fraudulent activity.^
INVESTIGATION
Prior to conducting an investigation, the following personnel will communicate as
appropriate to establish the necessary investigative team: General Counsel, Director of
Audit Services, University Chief of Police, and Director of Human Resources.
The Department of The Office of Audit Services will supervise all audits of allegations of
defalcation, misappropriation, and other fiscal irregularities. The Department of Audit
services will have full and unrestricted access to all necessary records and personnel.
All University furniture and contents, including desks and computers, are open to
inspection when there is reasonable suspicion of a dishonest or fraudulent activity which
makes such inspection appropriate; there is no assumption of privacy. General Counsel
shall be contacted before inspection of desks and computers beyond inadvertent or
official access. Every effort should be made to effect recovery of University losses.
All affected departments and/or individuals shall cooperate fully with the investigative
team to identify whether or not actual fraudulent activity has occurred.
The investigative team shall update University administration of the progress of all
investigations. The scope of and individuals subject to investigations are to be considered
in determining the extent and nature of notification.
The results of all investigations will be reported to the President of the University or to
the Chair of the Regent's Finance Committee when considered necessary.
When an audit reveals suspected criminal activity, or an audit is initiated due to an
allegation of criminal activity, the University Police Chief will be notified immediately
and the audit will proceed under their his direction. In order to avoid the use of
26
Appendix 2
investigative techniques that might prevent evidence from being used in a criminal
prosecution, University Chief of Police will coordinate the criminal investigation once
probable criminal activity has been detected. The Department of Audit Services shall
assist the University Police in investigations of suspected defalcation, misappropriation,
and other fiscal irregularities that require accounting and auditing knowledge of
University records.
Oftr
When an audit involves allegations or reveals suspected criminal activity which may
constitute a felony offense, the Chief of Police shall, when appropriate, immediately
notify the President or his designee. The Director of Audit Services shall keep the
University Chief of Police informed regarding the progress of the audit.
The University Police, DepartmentQf&ee of Audit Services, and Office of the General
Counsel will coordinate assistance provided to State, Federal, and local law enforcement
agencies in connection with felony fraud investigations. All requests for information
and/or assistance from such agencies, received by any other component of the University,
shall be immediately forwarded to the University Police for determination and handling.
All reasonable assistance will be given to law enforcement agencies when requested.
All requests for information and assistance related to investigations conducted by
auditors of federal and state agencies, which are concerned with potential dishonest or
fraudulent activities within the University, shall be forwarded immediately to the Director
of Audit Services for consultation with the Office of General Counsel.
In order to avoid the use of investigative techniques that might prevent evidence from
being used in a criminal prosecution, University Police will coordinate the criminal
investigation once probable criminal activity has been detected. The Office of Audit
Services shall assist the University Police in investigations of suspected defalcation,
misappropriation, and other fiscal irregularities that require accounting and auditing
knowledge of University records.
In order to protect the reputations of innocent persons initially suspected of wrongful
conduct and to protect the University from potential civil liability, the results of
investigations and attendant audits will not be disclosed or discussed with anyone other
than authorized representatives of law enforcement and/or regulatory agencies and only
those persons associated with the University who have a legitimate need to know such
results in order to perform their duties and responsibilities, subject to provisions of the
Texas Open Records Act.
Pursuant to Section 321.022 of the Texas Government Code, the President shall file an
appropriate report with the office of the State Auditor. All records of a communication by
or to the State Auditor in this regard are legally considered audit working papers of the
State Auditor.
27
Appendix 2
INVESTIGATIONS AND ATTENDANT AUDITS
Audits revealing violations of the Penal Code for which an audit report will be issued
shall be reduced to final report form only after consultation by University Police with the
local prosecutor or the Office of General Counsel to ensure that appropriate
documentation of the facts has been achieved in order to permit appropriate personnel
action, protect innocent persons, support appropriate civil or criminal actions, document
claims made pursuant to applicable fidelity bonds, preserve the integrity of criminal
investigation and prosecution and avoid unnecessary litigation.
Great care must be taken in the investigation of suspected improprieties or irregularities
to avoid incorrect accusations or alerting suspected individuals that an investigation or
audit is underway and also to avoid making statements which could provide a basis for a
lawsuit for false accusation or other offense. The reporting individual should not:
1) contact the suspected individual to determine facts or demand restitution; or
2) discuss the facts, suspicions, or allegations associated with the case with
anyone, unless specifically directed to do so by the Office of Audit Services,
University Police, or Office of the General Counsel.
All inquiries from the suspected individual, their representative or their attorney shall be
directed to the Office of General Counsel without further comment.
All reproduction of documents, evidence, and reports shall be performed within the
secured work area of the University Police or Office of Audit Services. Any requests to
release or review such documents will be coordinated through the Office of the General
Counsel.
To the extent permitted by the applicable provisions of the Texas Open Records Act,
confidentiality of those reporting dishonest or fraudulent activities will bo maintained.
However, the confidentiality cannot be maintained if that individual is required to serve
as a witness in legal proceedings.
When an audit initiated due to an allegation of criminal activity has failed to detect
criminal activity or when advised by the Office of General Counsel, the Director of Audit
Services has the discretion to stop the audit. The Office of University Police retains
authority to review the progress of criminal investigations and to determine whether to
pursue a criminal prosecution.
AUDIT FINDINGS
Each investigation of possible dishonest or fraudulent activities has the potential to
provide valuable insight into University activities. Investigations may disclose control
28
Appendix 2
weaknesses or other deficiencies that require additional auditing or attention by
management. The Office of Audit Services shall consider the nature and extent of the
investigation and complete any additional audit work necessary to provide management
with information for appropriate action.
Source of Authority: Board of Regents; Section 321.022 of the Texas Government Code
Cross Reference: Employee Conduct E-15, Ethics Policy E-56Nem, Discipline and
Discharge E-ll
Contact for Revision: Vice President for Businooo AffoirsFwawce and Administration
Forms: None
29
Appendix 2
Travel c_49
Original Implementation: October 31, 2000
Last Revision: April 28, 2005 October 20, 2005
Applicability
Unless otherwise stated, this policy applies to employees and prospective employees
traveling in a University capacity except members of the Board of Regents and the
President, who are exempt, and intercollegiate athletics. All policies, rules, and
regulations related to travel on behalf of, or in connection with, intercollegiate athletics
are included in the current issue of the Intercollegiate Athletics Policy Manual.
The travel regulations contained in this policy apply to all University funds. The
reimbursement limits established by this policy may be exceeded only if funds are
available in, and the additional costs are charged to, a discretionary account controlled by
the budget manager authorizing the additional expenditure. For this policy, discretionary
funds shall be defined as specified accounts established for the sole purpose of
discretionary use.
General Travel Regulations
Generally, the State of Texas Travel Allowance Guide is the authoritative document
regarding travel rules and regulations. The Guide is located in the Controller's Office
and at Travel Website. In case of conflict between the Guide and this policy, this policy
takes precedence.
Employees, and others traveling on behalf of the University, are reimbursed for actual
lodging expenses and on a per diem basis for meals, subject to the provisions of this
policy. In the case of employees traveling together, each must pay and claim
reimbursement for his own expenses (except taxi or limousine expenses - see Incidental
Expenses section of this policy).
Tips and gratuities are not reimbursable.
The applicable account manager may limit or prohibit reimbursement of any travel
expenditure provided the traveler is notified in advance.
Travel Request
Except as stated in the Applicability section of this policy, anyone traveling on University
business must obtain permission in advance of the trip. A Travel Request form (available
from University Printing Services and at Travel Website^ must be submitted and
approved at all applicable levels, as indicated on the form, whether or not expenses will
be incurred. All expenses of the trip are to be reflected on the Travel Request, regardless
of whether they are to be prepaid.
30
Appendix 2
The Controller's Office uses the Travel Request to encumber funds against the
appropriate account(s). The Travel Request will be approved by the Controller's Office
only when account balances are sufficient to cover the total estimated cost of the trip.
The Travel Request should be received by the Controller }s Office at least five (5) working
days prior to departure.
Travel to Washington, DC
Before An employee traveling to Washington, DC to confer on legislative or
appropriations issues, an employee shall inform the Texas Office of State-Federal
Relations about the timing and purpose of the trip, and provide the office with the name
of a person who may be contacted for additional information about the trip. A completed
form, Report of State Agency Travel to Washington, DC (available at Travel Website),
will meet this requirement when submitted prior to the trip.
Foreign Travel
Official University business travel to any foreign country other than Canada or Mexico
requires advance written approval from the Chair of the Board of Regents. The traveler
must submit a Travel Request through the appropriate administrative channels to the
President, who will forward the request to the Board Chair. To be considered for
approval, foreign travel must be directly related to the University's mission and must
require a duty that cannot be performed without the travel.
A completed Travel Request form (available from University Printing Services and at
Travel Website) must be routed through the appropriate administrative channels in
sufficient time to be approved by the Board Chair prior to the date of departure.
Charge Card for Travel Expenses
An individual corporate charge card is available for eligible employees. To be eligible to
apply, the employee must take, or expect to take, three (3) or more business trips per
fiscal year, or expend at least $500 per fiscal year for official State business. An
employee is not required to apply for or accept a State-issued charge card.
The State-issued individual corporate charge card is to be used for business-related
charges only while traveling on official State business. Use of the card for personal
business is considered a violation of State policy and the employee may be subject to
disciplinary action. The individual whose name appears on the card is solely responsible
for payment of the account. If the card is suspended or cancelled for misuse or
nonpayment, the employee will be ineligible for travel advances from the University.
If the application is approved by the credit card company, the employee agrees to be
bound by the cardmember agreement which will be sent with each card. Additionally,
the employee agrees to be bound by the State policies governing the use of the card.
Applications and further information concerning this program are available in the
31
Appendix 2
Controller's Office or at Travel Website. The employee, the employee's supervisor, and
the travel manager in the Controller's Office must sign the application.
Advance Travel Funds
Advance travel funds are available for employees who wish to obtain money in advance
of the trip and who are ineligible to apply for the individual corporate charge card.
Employees eligible to apply for the corporate credit card are not eligible for advances;
however, any employee may request advance travel funds when taking student groups.
Eligibility to apply for the State-issued corporate card is defined as taking three or more
business trips per fiscal year or expending at least $500.00 per fiscal year for official
State business. Advance travel funds may be requested on the Travel Request form
(available from University Printing Services and at Travel WebsiteV The minimum
amount of advance funds that can be obtained is $ 100.
To receive advance travel funds, the Travel Request should be received by the
Controller's Office at least five (5) working days prior to departure. Generally, the
requested funds will be available at the University Business Office at least one working
day prior to departure. Advance travel funds will be issued by a check made payable to
the individual requesting the funds. As a condition of receiving advance travel funds, the
employee agrees to refund any excess (amount advanced less documented eligible
expenditures on the Travel Voucher) within 30 days from the ending date of the trip. An
employee receiving advance travel funds will be ineligible for future travel advances until
the outstanding Travel Voucher is submitted. An employee who receives an advance
and does not travel must immediately return the advance funds. Abuse of the travel
advance privilege will result in ineligibility for future advances and the employee may be
subject to disciplinary action.
An advance travel check will only be issued prior to the trip. No advancement is
authorized if the trip has already commenced. The traveler should submit a Travel
Voucher for reimbursement subsequent to the trip.
Travel Voucher (Travel Expense Documentation and Reimbursement)
In order to receive reimbursement, travel expenditures must be documented on a Travel
Voucher (available from University Printing Services and at Travel Website') and signed
by the traveler and the account manager. The Travel Voucher must reflect the total
reimbursable expenses paid bv the employee regardless of whether advance travel funds
were received. Expenses paid bv the University should not be on the Travel Voucher.
Original receipts are required for most travel expenses (see applicable section of this
policy for specific details), except meals. In the case of meal expenses for group travel,
the sponsor/advisor must provide documentation of how the funds were expended. The '
sponsor/advisor should contact the travel manager in the Controller's Office in advance of
the trip for instructions. See Student and Other Group Travel, below.
32
Appendix 2
The Travel Voucher should be submitted, with original receipts attached, to the
Controller's Office within 30 days from the ending date of the trip. No reimbursements
will be made and all encumbrances will be cancelled 30 days after the end of the
fiscal year.
The State of Texas Travel Allowance Guide can be useful in the completion of Travel
Vouchers. It provides comprehensive information on travel procedures and the proper
classification of travel related expenditures. A current copy of the Guide is available in
the Controller's Office or at Travel Website.
Foreign Currency Conversion
All amounts listed on the Travel Voucher must be converted to U.S. dollars using the rate
applicable on the date of the expenditure. A foreign currency conversion table is
available at Travel Website. Documentation of the conversion calculation must be
attached to the Travel Voucher.
Reimbursement Rates - Lodging
Reimbursement may not exceed the amount of lodging expenses actually incurred at a
commercial lodging establishment, subject to maximum allowances stated below. The
original itemized lodging receipt, attached to the Travel Voucher, is required.
The State Travel Management Program of the General Services Commission has
contracted with several commercial lodging establishments for special rates. The
contracted vendors and rates are listed in the Texas State Travel Directory, which is
distributed to each department. Employees are encouraged to utilize the contracted
vendors when possible.
Travel Tip: The governmental rate for lodging is usually less than the convention rate.
Employees should check the governmental rate first. Since there is often a limited
number of rooms available at the governmental rate, employees should make hotel
reservations far in advance of the travel dates.
In-State
Travelers may be reimbursed for the actual cost of lodging, not to exceed the rate
designated in the State of Texas Travel Allowance Guide. Additionally, they may be
reimbursed for local taxes on the allowable lodging cost. State tax on in-state lodging
will not be reimbursed to State employees. Instead, State employees must submit a
completed Texas Hotel Occupancy Tax Exemption Certificate (available from University
Printing Services and at Travel Website) to commercial lodging establishments at check-in.
Employees should also be prepared to show proof of State employment.
Out-of-State
The Texas State Comptroller provides the maximum reimbursement rates for out-of-state
lodging. A list of the rates, which is updated from time to time, is available at Travel
Website. Within the continental United States, lodging reimbursement is limited to the
33
Appendix 2
locality-based allowance as stated on the list. For cities and counties not included on the
list, the allowance is the median rate established for lodging in that state. Applicable
taxes on the allowable lodging costs may also be reimbursed. Travelers to Alaska,
Hawaii, or a foreign country may be reimbursed for actual, reasonable costs.
If the actual cost of lodging exceeds a locality's lodging allowance, an employee may
reduce the maximum meal reimbursement rate for that locality and use the reduction to
increase the lodging reimbursement rate for that locality. No such adjustment can be
made to increase the maximum meal reimbursement rate.
Shared Lodging
When two or more employees share lodging, each employee must pay and claim his
prorated share of the cost. The University will reimburse each employee his share of the
lodging expense, not to exceed the applicable maximum lodging reimbursement rate. A
list of names of those sharing the same room should be attached to each Travel Voucher.
If only one of the individuals sharing lodging is an employee, then the amount that the
employee may be reimbursed for lodging expenses is the lesser of the single occupancy
room rate or the maximum lodging reimbursement rate.
Reimbursement Rates - Meals
This section of the Travel policy is inapplicable to Road Bus Drivers. Normally, Road
Bus Drivers are not reimbursed for meals. Any reimbursement of meal expenditures for
Road Bus Drivers is subject to the discretion and approval of the Director of the Physical
Plant.
Meal expenses with overnight stay are reimbursed on a per diem basis, as follows:
Breakfast
Lunch
Dinner
TOTAL
INSTATE
With Overnight Stay
$6.50
$11.50
$18.00
$36.00
IN- & OUT-OF-STATE
Without Overnight Stay"11
$6.50
$11.50
$18.00
$36.00
OUT-OF-STATE**
With Overnight Stay
17% of locality-based allowance
33% of locality-based allowance
50% of locality-based allowance
* Reimbursement without overnight stay is allowed if official travel requires the
employee to be at least 50 miles from his designated worksite for at least six (6)
consecutive hours during the calendar day. Internal Revenue Service rules (Publication
463) state nyou cannot deduct the cost of meals if it is not necessary for you to stop for
sleep or rest to properly perform your duties." Therefore, all reimbursement for meals
34
Appendix 2
without overnight stay is taxable to the employee. The reimbursement will be paid
monthly in the employee's regular payroll check and taxes will be withheld.
* * Within the continental United States, meal reimbursement is limited to the locality-based
allowance (list available at Travel Website ) provided by the Texas State
Comptroller. For cities and counties not included on the list, the allowance is the median
rate established in that state for meals. Travelers to Alaska, Hawaii, or a foreign country
may be reimbursed for actual, reasonable costs.
Meals are reimbursable for travel during the following time periods:
Breakfast Travel includes 6:00 a.m. - 8:00 a.m.
Lunch Travel includes 11:30 a.m. - 1:30 p.m.
Dinner Travel includes 6:00 p.m. - 8:00 p.m.
The traveler must be away from his designated worksite on official business the entire
time period to be eligible for per diem for that meal.
Meal expenses without overnight stay are reimbursable, not to oxcnnH pS 00 pnr Hny.
Such reimbursement is allowed if official travel requires tho employee to bo at least 50
milos from his designated worksite for at least six (6) consecutive hours during tho
calendar day. Meal expenses without overnight stay are roimhumoH nn n pnr Hinm
as follows:
Breakfast $ 1.25
jl/inner j> i jL.dk)
1 O Lu.1
Internal Revenue Service rules (Publication 163) state "you cannot deduct tho cost of
meals if it is not necessary for you to stop for sleep or rest to properly perform your
duties." Therefore, all reimbursement for meals without overnight stay is taxable to
the employee. Tho reimbursement will bo paid monthly in tho employee's regular
payroll check, and taxes will be withheld.
The daily reimbursement rate for meals is established by the State legislature and is
subject to change. When such change occurs, the University will adopt the new rate on
the effective date.
Additional guidelines for meal reimbursement:
Some registration fees include meals. In this case, the registration fee is fully
reimbursable but the employee must not claim per diem for the included meal,
according to the applicable rates above.
Meals purchased for the traveler by another person or entity are not reimbursable. In
this instance, the employee must not claim per diem for that meal, according to
the applicable rates above.
35
Appendix 2
In the case of employees traveling together, each must pay and claim his own
expenses.
Receipts are not required except for meal expenses for group travel. In this case, the
sponsor/advisor must provide documentation of how the funds were expended.
The sponsor/advisor should contact the travel manager in the Controller's Office
in advance of the trip for instructions.
Travel To/From the Duty Point; Travel Before/After Conducting Official Business
Subject to the other provisions of this policy, meals and lodging expenses may be
reimbursed for travel expenses to/from the duty point and prior to/after conducting
official business. This is only as necessary, and generally limited to no more than one
day before/after the business event, unless it is financially beneficial to the University
(e.g., when discounted airfare requires Saturday night stay and the additional expenses
incurred (hotel/meals/transportation) would not exceed the airfare savings). In these
instances, the total net savings must be documented and attached to the Travel Voucher.
Reimbursement Rates - Mileage
The number of reimbursable miles traveled by an employee may not exceed the number
of miles of the most cost-effective route. The shortest route between points, including the
use of all farm-to-market roads, is presumed to be the most cost-effective route. The
Texas Comptroller of Public Accounts Mileage Guide (available at Travel Website^
calculates the mileage between two locations. When both locations are in the Mileage
Guide database, the employee may be reimbursed for either the number of miles (1)
calculated by the Mileage Guide or (2) calculated by the employee's odometer. When
one or both locations are not in the Mileage Guide database, the number of reimbursable
miles is calculated by the employee's odometer. Mileage determined by use of the
employee's odometer must be itemized on a point-to-point basis on the Travel Voucher.
Any vicinity mileage at the destination location must also be itemized separately on a
point-to-point basis. For the purposes of this paragraph, "point" means a building, house,
highway intersection, or other similarly localized spot.
The reimbursement rate for use of an employee's personal vehicle is established by the
Board of Regents and the State legislature. That rate is the maximum amount
allowedspee&ed in the State of Texas Travel Allowance Guide (available in the
Controller's Office or at Travel Website^ or as updated by the Texas State Comptroller.
Four-Per-Car-Rule
Coordination of travel must occur when two, three, or four employees travel on the same
dates with the same itinerary to conduct the same official State business. When
coordination of travel is required, only one employee may be reimbursed for mileage.
Reimbursement Rates - When Representing the University President
36
Appendix 2
If the President is unable to attend a meeting or conference, the President may designate,
on an individual trip basis, one employee as a representative to travel. Under this
provision, the employee is reimbursed for actual expenses, not to exceed twice the
maximum allowance rates for lodging and meals specified by this policy. The Travel
Voucher must be accompanied by the original designating document from the President.
Receipts are required as specified in this policy, and the employee may only claim his
own expenses.
Registration Fees
The registration fee for attendance at a professional meeting is reimbursable if the fee
was approved on the Travel Request. The fee must be shown as a miscellaneous expense
on the Travel Voucher, with the original receipt attached.
Attendance at in-town conferences does not require a Travel Request. Employees may be
reimbursed for in-town registration fees by submitting a completed Travel Voucher, as
they would for any other travel reimbursement. The description should indicate that the
conference was in Nacogdoches.
Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additional amount can be claimed for the included meals.
Prepayment of Registration Fees by University
When requested, the University will prepay the registration fee for official business
conferences and seminars. If the meeting is held out-of-town, the employee must first
obtain approval to travel by submitting a Travel Request showing the registration fee as
an estimated cost of the trip. Additionally, a completed Purchase Voucher (available
from University Printing Services and at Travel Website^ and registration form must be
submitted to the Controller's Office well in advance of the payment due date.
The state-issued Procurement Card may also be used to prepay registration fees.
Airline Ticket Purchases
Any airline ticket expense, whether to be prepaid or reimbursed, must be listed on the
approved Travel Request.
The State Travel Management Program of the General Services Commission has
contracted with several airlines to provide special airfare rates for certain flights. A
listing of the flights and rates is available at Travel Website.
Employees are encouraged to make flight reservations at discounted fares. Often this
requires that the ticket be purchased well in advance of the travel date. Upon approval of
the Travel Request, employees may make the airfare purchase personally or have it
charged to the University, using the following procedures:
37
Appendix 2
An employee who personally pays for his airline ticket may request reimbursement in
advance of the trip by completing the Travel Voucher and attaching the receipt which
shows passenger name, date of travel, date of purchase, price and destination. An
employee wishing to charge an airline ticket directly to the University must submit an
Airfare Billing Form (available from University Printing Services) to the Controller's
Office. After approval, the employee must present the signed form to a local
participating travel agency (list available at Travel WebsiteV The travel agency will book
the flight and charge the expense to the University rather than to the employee.
The University cannot reimburse an employee for the cost of air transportation by a non
commercial transportation company.
Use of Non-University Owned Vehicle While on Official Business
An employee operating a personal vehicle must carry insurance as required by State law.
An employee operating any non-University owned vehicle, including his own personal
vehicle or a personally rented vehicle, does so at his own risk. The University accepts no
responsibility for vehicle or other damage, personal injury, claims filing, vehicle repair,
maintenance, insurance costs, towing or citations.
Motor Vehicle Rentals
If approved on the Travel Request, most expenses of renting a motor vehicle are
reimbursable. The daily rate, applicable taxes, and other mandatory charges are
reimbursable. An additional driver charge is reimbursable if it is incurred for an official
State business reason. Also, collision damage waiver and loss damage waiver expenses
are reimbursable if they are not already included in the contracted rate (see next
paragraph). The following expenses are not reimbursable: liability insurance supplement;
personal accident insurance; safe trip insurance; personal effects insurance.
The State Travel Management Program of the General Services Commission has
contracted with several vehicle rental agencies to provide special rental rates. Most rates
include unlimited free mileage, free loss damage waiver, and free primary liability
coverage. University employees traveling on official State business are encouraged to
use these contracted rates when possible. A listing of the agencies and rates is available
at Travel Website.
A detailed receipt from the motor vehicle rental company, attached to the Travel
Voucher, is required for reimbursement of motor vehicle rental expenses.
Incidental Expenses
Expenses for ground transportation such as taxi, limousine, subway, bus and other modes
of mass transit are reimbursable, subject to the provisions of this section. All expenses
must be listed on the approved Travel Request and Travel Voucher. Limousine expenses
are reimbursable if it was the least costly transportation available considering all relevant
circumstances. If two or more State employees share a taxi or limousine, it is allowable
38
Appendix 2
for one employee to pay and be reimbursed for that full expense. Other official business
expenses (e.g., parking, telephone calls, and copy services) are also reimbursable.
Receipts are requested, but not required, for reimbursement of these incidental expenses.
If receipts are not provided, an explanation of the reimbursable expenses must be detailed
on the Travel Voucher (including type of expense, date, amount and location).
The following are not reimbursable: expenses of a personal nature; expenses that would
be incurred by the employee regardless of official State business travel; tips and
gratuities.
Student and Other Group Travel
Employees traveling together are not considered group travel. Each employee must pay
and claim his own expenses.
When a non-employee group, such as a student group, travels together, it may be more
convenient for one person to pay and claim expenses of the entire group. In this case, the
person paying the expenses will be responsible for submitting the Travel Request and the
Travel Voucher. Receipts are required for all expenses of group travel, except meals.
However, the sponsor/advisor must provide documentation of how the funds were
expended for meals. The sponsor/advisor should contact the travel manager in the
Controller's Office in advance of the trip for instructions. Additionally, a list of names of
all travelers must be attached to the Travel Request and Travel Voucher.
If the group sponsor/advisor is an employee, he may request advance travel funds to pay
expenses for the group (refer to the Advance Travel Funds section of this policy for
procedures). The sponsor/advisor will be solely responsible for claiming reimbursement
on the Travel Voucher, and for repayment of the advance travel funds. Sponsors/advisors
of group travel are encouraged to contact the travel manager in the Controller's Office
prior to the trip for helpful record-keeping tips.
No Educational and General Funds (account numbers 1-XXXXX) may be used to
pay or reimburse travel expenses for students. All other provisions of this policy apply to
student travel.
Prospective Employees
All provisions of this policy apply to prospective employees. Additional methods of
payment are available to pay expenses incurred during the interview process and are
listed on the Travel Request-Prospective Employee form (available at Travel WebsiteY
Non-Reimbursed Travel
A travel request is required for any out-of-town University-related travel even if travel
expenses are not reimbursed. Examples include travel:
39
Appendix 2
for which University funds are not approved;
for which the traveler does not request or expect reimbursement; or
which has been paid by another source.
In any event of absence from class, the instructor is not to dismiss class but is to arrange
for an appropriate replacement. Moreover, only in extraordinary situations will travel be
approved that will result in the instructor missing the same class more than twice in
succession. Faculty members requesting to leave campus for travel that is not university-related
should notify their department chair and dean; if the absence will be for a day or
longer, faculty should file a leave of absence request but do not need to file a travel
request.
Source of Authority: Texas State Comptroller; Vice President for Bucincc: Affaire
Finance and Administration; State Travel Management Program of the General Services
Commission; Internal Revenue Service; Provost and Vice President for Academic Affairs
Cross Reference: Intercollegiate Athletics Policy Manual; State of Texas Travel
Allowance Guide; Texas State Travel Directory; Internal Revenue Service, Publication
463; Texas Comptroller of Public Accounts Mileage Guide
Contact for Revision: Controller
Forms: Travel Request, Travel Voucher, Texas Hotel Occupancy Tax Exemption
Certificate, and Purchase Voucher (all available from University Printing Services and at
Travel Website); Report of State Agency Travel to Washington, DC and Travel Request-
Prospective Employee (both available at Travel Website^ Corporate Travel Charge Card
Application (available from travel manager in Controller's Office); Airfare Billing Form
(available from University Printing Services)
Questions regarding the preparation of forms mentioned in this policy should be directed
to the Controller's Office.
40
Appendix 2
Appearances Before the Board of Regents D-4
Original Implementation: January 19, 1988
Last Revision: July 11,2005 October 20, 2005
1. Special appearances as requested by the Board or President: The Chair of the
Board of Regents or the President (as approved by the Board Chair) may invite
individuals to appear before the Board or one of its committees (as approved by
the Committee Chair) for specific purposes. The Chair of the Faculty Senate and
the President of the Student Government Association shall have the opportunity to
provide a report at each quarterly Board meeting.
Requests to address the Board: Requests to appear before the Board to make
comments on a specific agenda item must be received by the Assistant to the
Board in writing no later than twenty-four (24) hours before the Board meeting at
which the individual wishes to speak. The request should set out clearly the nature
of the subject matter to be presented relating to a specific Board agenda item. In
making a request to appear before the Board, individuals must give their names
and any relevant title or affiliation. Comments regarding non-posted agenda items
may be submitted to the Assistant to the Board in writing, at any time, for
distribution to the Regents.
Time allocation: The Board will allow up to twenty (20) minutes for public comment
per agenda item. An individual speaker will be permitted three (3) to five (5)
minutes for a presentation. The Board will allow a total of up to ninety (90)
minutes for public comments per regular quarterly meeting. Copies of speakers'
comments, and/or other written materials for distribution to the Board of Regents
will be accepted. Public comments will take place during the scheduled public
comment period at the beginning of each regular quarterly meeting.
Other meetings: While a specific period for public testimony will be limited to the
regular quarterly meetings, written comments are welcome for any scheduled
meeting of the Board of Regents. Forward one copy of your comments to the
Assistant of the Board for distribution to the Regents.
Scheduling of speakers: When the number of requests to address the Board at a given
session and for a specific agenda item exceeds the time available, requests will be
approved based on the order the written request was received by the Assistant to
the Board. If, by virtue of time or other constraint a speaker is not able to present
his/her comments, said comments will be accepted and distributed to the Board of
Regents at the meeting.
41
Appendix 2
Special Requests: Special requests to appear before the Board for comments at times
other than the regular quarterly meetings can be submitted to the Assistant to
Board for consideration by the Chair of the Board of Regents.
Source of Authority: Board of Regents Rules and Regulations; Texas Education Code
Chapter 51, Section 51.355
Cross Reference: None
Contact for Revision: President
Forms: None
42
Appendix 2
Emergency Management Plan D_U
Original Implementation: November 1986
Last Revision: January 28, 2003October 20,2005
An Emergency Management Plan has been adopted to guide the response of appropriate
individuals to potential emergencies occurring on the campus of Stephen F. Austin State
University.
A. AUTHORITY AND REFERENCES
1. Authority for implementation of the Emergency Management Plan rests with the
President of Stephen F. Austin State University.
2. References
Article 51.210 and Article 51.203 of the Texas Penal Code.
The Texas Emergency Disaster Act of 1975, as amended (Article 6889-7,
Vernon's Civil Statutes).
The Texas Emergency Management Plan, and Annex L - Texas Department of
Health.
B. PURPOSE
The Emergency Management Plan is intended to establish policies,
procedures, and organizational structure for response to emergencies
that are of sufficient magnitude to cause a significant disruption
of the functioning of all or portions of SFASU. This plan describes
the roles and responsibilities of departments, schools, units and
personnel during emergency situations. The basic emergency
procedures are designed to protect lives and property through
effective use of University and community resources. Since an
emergency may be sudden and without warning, these procedures are
designed to be flexible in order to accommodate contingencies of
various types and magnitudes.
This plan addresses each type of emergency on an individual basis
providing guidelines for the containment of the incident and
provides emergency instructions to the individual designated to
direct University resources in a concise format. It will also
provide emergency response information primarily for use by
faculty/staff and other on-site personnel who may be initial
responders to an emergency incident.
The purpose of this plan is to provide the necessary guidelines, procedures, and
instructions for implementing emergency operations at SFASU. Emergency
43
Appendix 2
operations will utilize the existing University organizations, with aid as necessary
from city, state, and federal governments.
C. SCOPE
This plan is a university-level plan that guides the emergency
response of university personnel and resources during and after an
emergency situation. It is the official Emergency Management Plan
of SFASU and precludes actions not in concert with the intent of
this plan or the organization created by it. However, nothing in
this plan shall be construed in a manner that limits the use of good
judgment and common sense in matters not foreseen or covered by the
elements of the plan.
This plan and organization shall be subordinate to federal, state,
or local plans during a disaster declaration by those authorities.
This plan is consistent with established practices relating to
coordination of emergency response. Accordingly, this plan
incorporates the use of the Incident Command System (Emergency
Operation Center) to facilitate interagency coordination, promote
the use of common emergency response terminology and command
structure, and facilitates the flow of information between
responding agencies.
The University will cooperate with the Office of Emergency
Management, State, County and City Police and other responders in
the development of emergency response plans and participate in
multi-jurisdictional emergency planning exercises.
This plan constitutes the general guidelines for personnel of tho University and for
such other departments or individuals as may como under tho direction and control of
the University while engaged in activities intended to mitigate the harmful effects of
accidents or natural disasters. Further, this plan provides guidelines for response to
such occurrences.
This plan is intended to stand alone or to complement other plans and provisions of
the Texas Emergency Management Council and of local government. Provisions of
this plan that are not specific to the activities of the University, have been included
for purposes of clarity and their presence here is not intended to supersede or abrogate
the provisions of the Texas Emergency Disaster Act of 1975.
D. MISSION
The University will respond to an emergency situation in a safe, effective, and timely
manner. University personnel and equipment will be utilized to accomplish the
following priorities:
Priority I: Protection of Human Life
Priority II: Support of Health & Safety Services
Priority III: Protection of University Assets
Priority IV: Maintenance of University Services
Priority V: Assessment of Damages
44
Appendix 2
Priority VI: Restoration of General Campus Operations
E. SITUATIONS AND ASSUMPTIONS
1- Situations:
The University is an autonomous community of approximately 13 000
people surrounded by a city of approximately 30,000 'xhe
University is responsible for providing law enforcement and
internal distribution of utility services to the University
community on a day-to-day basis.
2. Assumptions:
This Emergency Management Plan is predicated on a realistic
approach to the problems likely to be encountered during a major
emergency or disaster. Hence, the following assumptions are made
and should be used as general guidelines in such an event-
An emergency or a disaster may occur at any time of the day or
night, weekend, or holiday, with little or no warning
The succession of events in an emergency or disaster is not
predictable; therefore, published operational plans, such as
this plan, should serve only as a guide and a checklist, and
may require modifications in order to meet the requirements of
the emergency.
An emergency or a disaster may be declared if information
indicates that such conditions are developing or probable
Disasters may be community-wide. Therefore it is necessary for
the University to plan for and carry out disaster response and
short-term recovery operations in conjunction with local
resources. The University may however be dependent upon its
own personnel and resources in the interval prior to the
arrival of help from the usual sources.
AVThe University is more knowledgeable about its facilities than
are other agencies.
Bin thn event of a dLdulu. the University ^ hn rWn,-.-.,, upull iL
pmonnol and rcoourcu, in the interval piior to the arrival uf help from the
usual sources.
Grin the event that the University is not affected by the primary disaster its
personnel and resources may be available to supplement and support local
services.
F. DIRECTION AND CONTROL
1. Routine organization (See University Organizational Chart.)
2. The organization of the Emergency Operation Center (EOC) will vary from the
routine structure as follows:
The location of the primary EOC will be designated by the Director of the EOC
upon activation of this plan after consideration of the nature of the emergency.
The secondary EOC may be in the University Police Department.
45
Appendix 2
The EOC Director will be designated by the President of the University and he, or
his designee, must be present in the EOC as long as the plan is activated. He
will serve as the

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Transcript

Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
October 20,2005
Volume 216
TABLE OF CONTENTS
Oath of Office and Recognitions 1
06-02 Approval of July 13 and 14, 2005 Minutes 2
06-03 Approval of Personnel Items
A. Faculty Appointments for 2005-2006 2
B. Staff Appointments for 2005-2006 [.ZZZ'.Z'a
C. Changes of Status for 2005-2006 ....^6
D. Retirements g
E. Leave of Absence 9
06-04 Approval of Academic and Student Affairs Items
A. Fall, 2005 Underenrolled Classes 9
06-05 Approval of Financial Affairs Items
A. Endowment Investment Fund Manager Change 10
B. Oracle Maintenance (Amended) 10
C. Hotel Contracts 10
D. Payment Options for Students with Delayed Financial Aid 10
E. Approval of Annual Audit Report 11
F. Addendum to Agreement for Advertising Consultant Services
Between Stephen F. Austin State University and AMS Production
Group 11
G. Dishwashing Machine Replacements 11
H. Approval for Purchases over $50,000 (Arthur Temple College
of Forestry and Agriculture)—Columbia Geospatial Service
Center—Two-Year Lease of Office Space 11
I. Approval for Purchases over $50,000 (Arthur Temple College
of Forestry and Agriculture)—Columbia Geospatial Service
Center—Renovations of Office Space. 11
J. Approval for Purchases over $50,000 (Arthur Temple College
of Forestry and Agriculture)—Columbia Geospatial Service
Center—Two-year lease of office space 12
K. Approval for Purchases over $50,000 (Division of Biotechnology,
College of Sciences and Mathematics)—Purchase of a Typhoon
Trio Plus Imager As Awarded by the National Science Foundation... 12
L. Research Development Fund 12
M. Expend Funds from Rural Nursing Initiative 12
06-06 Approval of Buildings and Grounds Items
A. Baseball Softball Complex—Approval of Site 13
B. Request for Proposal-Baseball/Softball Complex Architect 13
C. Request for Proposal-Baseball/Softball Complex-
Construction Manager at Risk 13
D. House Sale 13
E. Boiler Replacements 13
F. Outside Cable Plant Upgrade 14
G. Chemistry Building Improvements 14
H. Selection of Electricity Provider 14
06-07 Approval of University Policies and Procedures Items
A. Appointment of Public Information Coordinator for the
Board of Regents 14
B. Policy Revisions 14
C. Board Rules and Regulations 14
VIII. Reports 15
A. Faculty Senate
B. Student Government Association
C. College of Sciences and Mathematics Report
D. Building Construction Report
E. Enrollment Management
F. Audit Services Report
G. Vice President for University Advancement
H. President
Appendix 1 - Underenrolled Classes for Fall, 2005
Appendix 2 - Policy Revisions
B-16 Kennedy Auditorium 3
B-29 University Center Operations 4
C-17 Memberships 12
C-33 Purchasing Ethics and Confidentiality 13
C-41.A Investments—Endowment Funds 15
C-46 Fraud Policy 23
C-49 Travel 30
D-4 Appearances before the Board of Regents 41
D-l 1 Emergency Management Plan 43
D-22 Naming Guidelines 52
E-56 Ethics 54
F-16 Accessibility for Persons with Disabilities 63
Appendix 3 - Board of Regents Rules and Regulations
Minutes of the Regular Meeting of the
Board of Regents of Stephen F. Austin State University
Nacogdoches, TX
Austin Building, Room 307
October 20, 2005
The Meeting of the Board of Regents was called to order at 9:00 a.m., Thursday, October
20, 2005 by Chair Fred Wulf. No Executive Session was held.
PRESENT:
Board Members: Mr. Richard Boyer
Dr. Margarita de la Garza Grahm
Ms. Valerie Ertz
Mr. Joe Max Green
Mr. Kenneth James
Mr. Paul Pond
Mr. James Thompson
Mr. Melvin White
Mr. Fred Wulf
President: Dr.Tito Guerrero
Vice-Presidents: Dr. Mary Cullinan
Dr. Jerry Holbert
Dr. Baker Pattillo
Dr. Marlin Young
General Counsel: Ms. Yvette Clark
Other SFA administrators, staff, and visitors also were present in Room 307.
President Guerrero introduced Judge Michael H. Schneider, U.S. District Judge for the
Eastern District of Texas and SFA alumnus, as well as other judicial guests, District
Judge Ed Klein, District Judge Campbell Cox, and County Attorney Jeff Davis. Chair
Fred Wulf introduced the three newly-appointed board members, Richard Boyer, James
Thompson, and Melvin White. Judge Schneider administered the oath of office to the
three new regents.
President Guerrero presented a certificate of appreciation from the American Association
of State College and Universities to Dr. Carrie Brown, Director of Research and
Sponsored Programs, for her participation in a Graduation Rate Outcomes Study Project.
President Guerrero recognized Monique Cossich, Executive Director of Enrollment
Management, for her efforts resulting in the recent increase in university enrollment.
President Guerrero introduced Provost and Vice President Cullinan, who introduced Dr.
John Jacobson, Dean of the College of Education. Dr. Jacobson presented several faculty
members in the College of Education who together have written and received grants for a
»#,???eafly $15'000'000: MeIanie Jephson, Alan Sowards, Lynda Martin, Bill Bryan
Bill Weber, Bob Bryant, Dixie Mercer, Glen McCuller, Robert Choate, Scott Whitney '
Betty Alford. Jl
Dr. Jacobson also presented a framed painting to Dr. Alan Sowards, Ms. Elyce
Rodewald, and Dr. Cheryl Boyette, representing a state award from'the Texas Forest
Service for their annual Bugs, Butterflies, and Blossums Children's Festival.
Dr. Cullinan introduced Dr. Anthony Duben, Dean of College of Sciences and
Mathematics, who recognized the members of the SFA chapter of American Association
™nf **? GeoI°glsts>who have won the national Outstanding Chapter Award in
2005, for the third time in ten years. Representing the chapter were Dr. LaRell Nielson
Professor of Geology, Justin Burt, AAPG Chapter President, Chris Reeves, Chapter Vice
President, Manetta Dilhngham, Chapter Secretary, and Marcy Stonescipher Chanter
Representative. ' v
Dr. Baker Pattillo gave a report of the response of the university to the recent Hurricane
Rita disaster. The university opened a shelter in the William Johnson Coliseum which
provided safe haven to over 1000 people during the evacuation. Dr. Guerrero presented
certificates to staff and students who participated in the university's effort Student
recipients were Amanda Cathey, Ashley Rhodes, Gaby Rodriguez, Joe Walker, Jose
Pmones, Kendall Townsend, Lacy Claver, Randi Cooper, Ryan Home, and Tim Lofing
Staff members receiving a certificate were Steve Westbrook, Michael Preston, Charlie
Hueber, Jeff Huskey, John Rulfs, John Branch, Jeremy Stolfa, Trey Younger Marc
Cossich, Chris Rivers, Jack Nelson, Ron Watson, Lee Britain, and Brad Patterson
APPROVAL OF MINUTES
06-02
Upon motion by Regent Pond, seconded by Regent de la Garza-Grahm all members
voting aye, it was ordered that:
The minutes of the July 13 and 14, 2005 meetings be approved.
PERSONNEL
06-03
Upon motion by Regent Thompson, seconded by Regent Ertz, all members voting aye it
was ordered that the following personnel items be approved: '
A. FACULTY APPOINTMENTS FOR 2005 - 2006
1. Business
Dr. Minho Park. Visiting Assistant Professor of Computer Science, Ph.D.
(University of Florida), at a salary of $74,000 for 100 percent time for nine
months, effective August 23, 2005.
Mr. Jason Powell. Lecturer of Computer Science, M.S. (Stephen F. Austin State
University), at a salary of $35,000 for 100 percent time for nine months, effective
August 23, 2005.
Ms. Kelly Noe. Lecturer of Accounting, M.S. (Stephen F. Austin State
University), at a salary of $32,000 for 100 percent time for nine months, effective
August 23, 2005.
2. Education
Dr. Neill Armstrong. Assistant Professor of Secondary Education, Ph.D.
(Oklahoma State University), at a salary $47,000 for 100 percent time for nine
months, effective August 23,2005.
Dr. Kenneth Austin, Assistant Professor of Secondary Education and Educational
Leadership, Ph.D. (University of Texas at Austin), at a salary of $46,000 for 100
percent time for nine months, effective August 23,2005.
Dr. Kris Bills, Lecturer of Elementary Education, Ph.D. (Kent State University),
at a salary of $45,000 for 100 percent time for nine months, effective August 23'
2005.
Mr. John Donihoo. Instructor of Elementary Education, M.A. (Stephen F. Austin
State University), at a salary of $41,000 for 100 percent time for nine months,
effective August 23,2005, contingent upon completion of terminal degree bv'
May 2011.
Mr. Jarod Lambert. Visiting Assistant Professor of Secondary Education M.Ed.
(University of Houston), at a salary of $44,000 for 100 percent time for nine
months, effective August 23, 2005.
3. Fine Arts
Dr. Christina Guenther. Visiting Assistant Professor of Music, Ph.D. (Florida
State University), at a salary of $38,000 for 100 percent time for nine months,
effective August 23,2005.
Mr. JeffSchultz, Instructor of Music, M.A. (Northwestern University), at a salary
of $36,000 for 100 percent time for nine months, effective August 23,2005.
4. Forestry
Mr. Daniel Scognamillo. Assistant Professor of Wildlife Management (GIS),
M.A. (University of Florida), at a salary of $14,000 for 100 percent time for two
months, effective June 1, 2006, and $42,000 for 100% time for nine months,
effective September 1, 2006, contingent upon completion of Ph.D. by April 2006.
5. Liberal Arts
Dr. D. Matthew Ramsev. Assistant Professor of English, Ph.D. (Ohio State
University), at a salary of $3,000 for 50 percent time effective July 7, 2005, for
Summer II session and $38,000 for 100 percent time for nine months, effective
August 23, 2005.
6. Science and Mathematics
Ms. Hilary Dosser. Lecturer of Mathematics and Statistics, M.S. (Stephen F.
Austin State University), at a salary of $31,000 for 100 percent time for nine
months, effective August 23, 2005.
Mr. David McCann. Clinical Instructor of Nursing, M.A. (University of Phoenix),
at a salary of $54,000 for 100 percent time for nine months, effective August 23
2005.
Dr. Rose Powell. Assistant Professor of Nursing, Ph.D. (George Mason
University), at a salary of $58,000 for 100 percent time for nine months, effective
August 23,2005.
Ms. Amanda Whisenant. Lecturer of Mathematics and Statistics, M.S. (Tarleton
State University), at a salary of $32,000 for 100 percent time for nine months,
effective August 23, 2005.
B. STAFF APPOINTMENTS FOR 2005 - 2006
1. Athletics
Ms. Jenifer Wells. Head Softball Coach, at a salary of $42,700 for 100 percent
time for 10.5 months, effective July 18, 2005.
Mr. Fred Gillum, Assistant Softball Coach, at a salary of $25,200 for 100 percent
time for 10.5 months, effective August 1,2005.
Mr. Brian Yale, Assistant Volleyball Coach and Instructor, at a salary of $38,769
for 100 percent time for 10.5 months, effective August 1, 2005.
Mr. Johnny Cardenas. Assistant Baseball Coach, at a salary of $35,000 for 100
percent time for 10.5 months, effective September 1, 2005
Mr. Christopher Connallv. Assistant Baseball Coach, at a salary of $30,000 for
100 percent time for 10.5 months, effective September 1, 2005.
Mr. Brian Ross. Assistant Sports Information Director, at a salary of $33,159 for
100 percent time for 12 months, effective, September 1, 2005.
2. Controller
Ms. Tamela D. Kimbro, Accountant II at a salary of $35,000 for 100 percent time
effective August 8, 2005 for 12 months.
Ms. Anne Uhvrek. Bursar at a salary of $48,000 for 100 percent time effective
May 31, 2005 for 12 months.
3. Counseling and Career Services
Ms. Nicole Preston. Counselor, at a salary of $36,383 for 100 percent time for 12
months, effective July 18, 2005.
4. Health Services
Ms. Merry Shelton. Registered Nurse, at a salary of $29,456 for 100 percent time
for 9 months, effective September 1, 2005.
Ms. Janice Haile. Registered Nurse, at a salary of $34,365 for 100 percent time
for 10.5 months, effective August 25, 2005.
5. Forestry
Mr. Cody Betts. Beef Farm Supervisor, at a salary of $35,329 for 100 percent
time for twelve months, effective July 1, 2005.
6. Instructional Technology
Mr. Brian Tarplev. Instructional Systems Administrator at a salary of $33,667.56
for 100 percent time effective June 14, 2005 for 12 months.
7. Library
Mr. Reginald Gossett. Assistant Manager Library Systems, at a salary of $41,000
for 100 percent time for twelve months, effective September 12, 2005.
C. CHANGE OF STATUS FOR 2005 - 2006
1. Academic Affairs
Dr. Marlin Young, from Associate Provost/Vice President for Academic Affairs,
at a budgeted salary of $ 126,800 for 100 percent time for twelve months to
Interim Vice President for Business Affairs, with an additional stipend of $750
per month for the "interim" duties, with effect from August 22, 2005.
2. Athletics
Mr. William Bobo, from Lecturer in Kinesiology at a salary of $38,160 for 100
percent time for 9 months to Athletic Trainer at a salary of $30,000 for 100
percent time for 10.5 months, effective September 1, 2005.
Ms. Jennifer Wiggins, from Student Intern Manager in Agriculture at a salary of
$23,940 for 100 percent time for 12 months to Assistant Equestrian Coach at a
salary of $25,000 for 100 percent time for 10.5 months, effective September 1
2005.
Ms. Amanda Went, from Intern Coach in Women's Basketball at a salary of $5.15
per hour for 100 percent time for 9 months to Assistant Women's Basketball
Coach and Instructor of Kinesiology at a salary of $43,000 for 10.5 months,
effective August 2, 2005.
Mr. James Dixon, from Assistant Director of Sports Information at a salary of
$33,159 for 100 percent time for 12 months to Director of Sports Information at a
salary of $39,461 for 100 percent time for 12 months, effective September 1
2005.
Mr. Robert Meyers, from Director of Sports Information at a salary of $39,461 for
100 percent time for 12 months to Assistant Director of Athletics for Business at a
salary of $50,000 for 100 percent time for 12 months, effective September 1
2005.
Mr. John Branch, from Assistant Director of Athletics at a salary of $46,350 for
100 percent time for 12 months to Assistant Director of Athletics at a salary of
$50,000 for 100 percent time for 12 months, effective September 1, 2005.
Mr. Matthew Fenlev, from Assistant Director of Athletics for Compliance and
Student Services at a salary of $63,877 for 100 percent time for 12 months to
Associate Director of Athletics for Compliance and Student Services at a salary of
$68,877 for 100 percent time for 12 months, effective September 1, 2005.
3. Financial Aid
Ms. Rebecca B. Shepherd from Scholarship Coordinator at a salary of $36,715 for
100 percent time for 12 months to Scholarship Coordinator at a salary of $36 800
for 100 percent time for 12 months, effective September 1, 2005.
4. Forestry
Mr. Tred Riggs, from GIS System Administrator, at a salary of $46,125 for 100
percent time for twelve months, to Geospatial Application Specialist II, at a salary
of $50,000 for 100 percent time for twelve months, effective July 16, 2005.
Mr. David Barfield, from Project GIS Specialist, at a salary of $25,000 for 100
percent time for twelve months, to Geospatial Trainer I, at a salary of $30,000 for
100 percent time for twelve months, effective July 16, 2005.
5. Health Services
Dr. John H. Miller, from Physician at a salary of $85,543 for 100 percent time for
10.5 months to Director of Health Services at a salary of $94,689 for 100 percent
time for 10.5 months, effective September 1, 2005.
6. Human Resources
Ms. Glenda F. Herrington, from Human Resource Director at a salary of $67,300
for 100 percent time for 12 months to Human Resource Director at a salary of
$67,700 for 100 percent time for 12 months, effective September 1, 2005.
7. Institutional Research
Ms. Sandra J. Turner, from Manager of Instructional Technology Systems at a
salary of $58,203 for 100 percent time for 12 months to Associate Director of
Institutional Research at a salary of $58,203 for 12 months, effective September
8. Intramurals
Mr. Bryan Bradbury, from Graduate Assistant at a salary of $2,627.33 for 50
percent time for 2.5 months to Intramural Supervisor at a salary of $24,355 for
100 percent time for 9 months, effective August 29,2005.
9. Liberal Arts
Dr. Christine McDermott from Lecturer of English and Philosophy at a salary of
$28,000 for 100 percent time for nine months to Assistant Professor of English
and Philosophy at a salary of $40,000 for 100 percent time for nine months,
effective August 23, 2005.
Mr. Matthew Partridge, from Lecturer at a salary of $32,500 for 100 percent time
for nine months to Director AELI, at a salary of $32,500 for 100 percent time for
nine months, effective September 1,2005.
10. Science and Mathematics
Mr. Ronald Havner, from Adjunct Faculty at a salary of $6,500 per semester to
Lab Coordinator, at a salary of $32,000 for 100 percent time for nine months
effective August 25, 2005.
Mr. Michael Hitchcock, from Adjunct Faculty at a salary of $6,000 per semester
to Lab Coordinator, at a salary of $32,000 for 100 percent time for nine months
effective August 25, 2005.
Mr. William Godwin, from Adjunct Faculty at a salary of $1,500 per semester, to
Project Director at a salary of $6,000 for 100 percent time for three months
effective June 1,2005.
11. Telecommunications
Mr. Preston R. McMullen. from Network Support Specialist I at a salary of
$32,552 for 100 percent time for 12 months, effective September 1, 2005 to
Network Support Specialist I at a salary of $32,700 for 100 percent time for 12
months, effective September 1,2005.
D. RETIREMENTS
1. Alumni
Ms. Betty L. Ford, Assistant to Associate Vice President for Alumni Affairs
effective August 31, 2005.
2. Athletics
Mr. Steve McCartv. Athletic Director, effective August 31, 2005.
3. Health Services
Dr. Robert Eanes. Director/Physician, effective August 31, 2005.
Ms. Barbara A. Bahs. Registered Nurse, effective August 31, 2005.
4. Liberal Arts
Dr. Nancy Wisely, Associate Professor of Sociology, effective December 31,
5. Science & Mathematics
Dr. Kenneth Price, Associate Professor of Mathematics & Statistics effective
August 31, 2005.
E. LEAVE OF ABSENCE 2005-2006
Sociology
Dr. Jerry Tvler. Assistant Professor, leave of absence without pay,
effective January 1, 2006, through December 31, 2006.
ACADEMIC AND STUDENT AFFAIRS
06-04
Upon motion by Regent White, seconded by Regent Boyer, with all members voting aye
it was ordered that the Fall 2005 Underenrolled Class list be approved The list is
attached as Appendix 1.
FINANCIAL AFFAIRS
06-05
Upon motion by Regent Ertz, seconded by Regent de la Garza-Grahm, eight members
voting aye, Regent Green abstaining, it was ordered that the following Financial Affairs
items be approved:
A- ENDOWMENT INVESTMENT FUND MANAGER CHANGF
Davis Advisors was selected to replace John A. Levin & Co., Inc. as the
endowment funds large capitalization value style fund manager.
B. ORACLE MAINTENANCE (AMENDED)
The Board of Regents approved an ongoing annual expenditure not to exceed
$134,000 in FY06 for Oracle software maintenance. Source of funds will be
O&M.
C. HOTEL CONTRACTS
Non-exclusive contracts will be established with all respondents to the
solicitation, Victorian Inn & Suites, Continental Inn & Suites, Stag Leap Country
Inn, Fredonia Hotel, and Appleby Sand Road Bed & Bagel for lodging and
banquet needs. The contracts will be for services as needed, each with a not to
exceed amount of $175,000 per year. Each contract will be for one year, with
four annual renewals, subject to administrative approval. The President was
authorized to sign the contracts.
D- PAYMENT OPTIONS FOR STUDENTS WITH DELAYED FINANCIAL ATP
Authority was granted to the Vice President Business Affairs (or Finance and
Administration) to postpone the due date for the payment of all or part of the
tuition and fees for a student for a semester or summer session in which the
student will receive one or more delayed financial aid awards as authorized by the
legislative provision in Sec 54.0071 of the Education code, effective September 1,
2005. This authority may be modified by Texas Higher Education Coordinating
Board's subsequent rules and procedures.
10
E. APPROVAL OF ANNUAL AUDIT REPORT
The Board of Regents approved the Annual Audit Report for the Fiscal Year
Ended August 31, 2005.
F- ADDENDUM TO AGREEMENT FOR ADVERTISING CONSULTANT
SERVICES BETWEEN STEPHEN F. AUSTIN STATE UNIVERSITY AND AMS
PRODUCTION GROUP "
The president was authorized to sign an addendum to the agreement for
advertising consultant services with AMS Production Group for services
including media planning and placement of existing television spots in Houston,
Dallas, and East Texas media markets, reproduction of 20,000 copies of a student
recruiting DVD, and production of two new television spots to air in the 2006-
2007 fiscal year for a cost not to exceed $165,000.
G. DISHWASHING MACHINE REPLACEMENTS
Approval was given to proceed with the purchase and installation of three
dishwashing machines for the East College and University Center cafeterias at a
total cost not to exceed $300,000.
H- APPROVAL FOR PURCHASES OVER $50.000 f ARTHUR TEMPLE COT.T.FPtF
OF FORESTRY AND AGRICULTURE)—COLUMBIA GEOSPATIAL SERVICE
CENTER—TWO-YEAR LEASE OF OFFICE SPACE
Approval was given for the lease of office space for the Columbia Geospatial
Service Center at Plaza Place, 106 S. Pecan Street, Nacogdoches, for two years
beginning in October, 2005, at a total cost not to exceed $36,000 per year.
I- APPROVAL FOR PURCHASES OVER $50.000 (ARTHUR TEMPLE COLLEGE
OF FORESTRY AND AGRICULTURE)—COLUMBIA GEOSPATIAL SERVICE
CENTER—RENOVATIONS OF OFFICE SPACF.
Approval was given for renovations to the leased office space for the Columbia
Geospatial Service Center at a total cost not to exceed $75,000.
11
1 APPROVAL FOR PURCHASES OVER $50.000 fARTHUR TEMPLE COT.T.F.GF
OF FORESTRY AND AGRICULTURES-COLUMBIA GEOSPATIAL SF.R VTCF
CENTER—FURNISHINGS FOR OFFICE SPACF "
Approval was given for the purchase of furnishings for the Columbia Geospatial
Service Center at a total cost not to exceed $60,000.
K- APPROVAL FOR PURCHASES OVER $50.000 (DIVISION OF
BIOTECHNOLOGY, COLLEGE OF SCIENCES AND MATHEMATICS^—
PURCHASE OF A TYPHOON TRIO PLUS IMAGER AS AWARDED BY THE
NATIONAL SCIENCE FOUNDATION '
Approval was given for the purchase of a Typhoon Trio-Plus Imager at a total cost
not to exceed $151,565 and consistent with the National Science Foundation
guidelines.
L. RESEARCH DEVELOPMENT FUND
The Board of Regents approved the $271,591 allocated to SFA through the
Research Development Fund and this amount was added to the FY 2005-06
budget for distribution, through a rigorous, competitive process coordinated by
the Office of Research and Sponsored Programs, to research projects that will
increase the university's research and/or increase the university's competitiveness
in acquiring external funds for research.
The following note was added to the Financial Affairs item in Board Order 06-05
by the Board of Regents at their January 19, 2006 board meeting:
Research Development Fund (Clarification)
The original board item incorrectly noted that the Research Development Fund
involved an additional appropriation beyond that which was originally
appropriated by the Legislature and augmented the budget to add $271 591 to the
University's total budget. These funds were included in the original Legislative
appropriation and the University's budget should not have been increased. These
funds will still be expended as noted, but are not an addition to the budget.
M. EXPENDED FUNDS FROM RURAL NURSING TNTTTATTVF
The purchase of biology equipment to equip a new anatomy and physiology
laboratory was approved, as a part of the special item appropriation for the Rural
Nursing Initiative, at a cost not to exceed $65,000.
12
BUILDINGS AND GROUNDS
06-06
Upon motion by Regent Green, seconded by Regent Pond, all members voting aye, it was
ordered that the following Buildings and Grounds Items be approved:
A. BASEBALL/SOFTBALL COMPLEX—APPROVAL OF SITE
The Baseball/Softball Complex will be located at the corner of University Drive
and Starr Avenue on property owned by the university, subject to final approval
by the Corps of Engineers.
B- REQUEST FOR PROPOSAL-BASEBALL/SOFTBALL COMPLEX-ARCHITECT
The university was authorized to issue a Request for Proposal for a project
Architect. Proposals will be reviewed by staff and a recommendation will be
made to the Building and Grounds Committee when complete.
REQUEST FOR PROPOSAL- BASEBALL/SOFTBALL COMPLEX
CONSTRUCTION MANAGER AT RISK
The university was authorized to issue a Request for Proposal for a project
Construction Manager. Proposals will be reviewed by staff and a recommendation
will be made to the Building and Grounds Committee when complete.
D. HOUSE SALE
The university was authorized to sell the house and 2 acres of land located at 1256
FM 2664 at the list price of $150,000.
E. BOILER REPLACEMENTS
The university was authorized to replace two boilers in PPII, and the President
was authorized to sign the necessary contracts and purchase orders. The Physical
Plant will serve as general contractor. The estimated cost is $350,000, and the
source of funds will be the Series 2002 Tuition Revenue Bonds Proceeds
Account.
13
F. OUTSIDE CABLE PLANT UPGRADE
The Board of Regents approved the funding of the project to pull new
telephone/data cable with sufficient capacity to provide service for the renovated
Student Center, the new Lumberjack Village, the new Student Recreation Center,
and other anticipated construction on the south end of campus for a sum not to
exceed $85,000, source of funding O&M.
G. CHEMISTRY BUILDING IMPROVEMENTS
The university was authorized to proceed with the renovations required by the
State Fire Marshall in the Chemistry Building with the physical plant acting as
general contractor and the President was authorized to approve the required
contracts and purchase orders. Work not to exceed $150,000 source of funds
HEAF.
H. SELECTION OF ELECTRICITY PROVIDER
The university was authorized to begin the selection process for selection of an
electricity provider for September 1, 2006. Recommendations for a provider will
be brought to the Board for final approval.
UNIVERSITY POLICIES AND PROCEDURES
06-07
Upon motion by Regent Ertz, seconded by Regent Green, all members voting aye, it was
ordered that the following university policy and procedure items be approved:
A. APPOINTMENT OF PUBLIC INFORMATION COORDINATOR FOR THE
BOARD OF REGENTS ~~
The Board of Regents designated either Yvette Clark or Lynda Langham as their
Public Information Coordinator.
B. POLICY REVISIONS
The Board of Regents adopted the policy revisions as presented in Appendix 2.
C. BOARD RULES AND REGULATIONS
The Board of Regents adopted the updated rules and regulations as presented to
the board in their notebooks and as attached in Appendix 3.
14
REPORTS
A. FACULTY SENATE
Chair-Elect Chris Barker presented a report on the following topics:
Office space transfer
. Increased enrollment/faculty salaries/salary compression
. Survey of faculty regarding joining a system
. Acknowledging improved communication and campus involvement by
administration
B. STUDENT GOVERNMENT ASSOCIATION
SGA President Amber Lara introduced the Vice President and Speaker of the Senate.
She gave a report on the general student scholarship awarded by the SGA, the
selection process for the student regent, and spoke about the student volunteers for
Hurricane Katrina.
C COLLEGE OF SCIENCES AND MATHEMATICS REPORT
Dean Anthony Duben gave a report on the Coccidiosis research project at SFA and its
potential economic value to the university.
D. BUILDING CONSTRUCTION REPORT
Mr. John Rulfs gave an update on all the current and proposed campus construction
projects.
E. ENROLLMENT MANAGEMENT
Executive Director of Enrollment Management, Ms. Monique Cossich, reported on
FY05 enrollment efforts and plans for FY06. Ann Oleson, a consultant with
STAMATS, presented the results of a study of nonmatriculant students done bv her
firm in August, 2005.
F. AUDIT SERVICES REPORT
Ms. Gina Oglesbee reported on progress toward the "best practices" goals of the
Governor's Executive Order Regarding Fraud. She updated the board members on the
audit plan for FY06.
G- VICE PRESIDENT FOR UNIVERSITY ADVANCEMENT
Dr. Jerry Holbert reported on the marketing efforts during the past fiscal year as well
as the fundraismg results during FY05 with a total reported in gifts to the university
of $8,701,594.
15
H. PRESIDENT
President Tito Guerrero gave an update on the progress of the search for the Vice
President for Finance and Administration. The President will be attending the
Coordinating Board Meeting on October 27, 2005, and will be giving the State-of-the-
University Address at the Fourth Friday Luncheon of the Nacogdoches County Chamber
or Commerce on October 28, 2005. Homecoming activities are scheduled for the
weekend of October 28 through 30, 2005. On November 5, 2005, SFA will host
Showcase Saturday for prospective students and their families along with the UC-Davis
football game. The President reported that the Mentor Ring Big Dip ceremony will again
be conducted on Friday, a week before Commencement, and is becoming a tradition for
students and their parents. Fall Commencement will be held on December 17 2005
Upon motion by Regent Green, seconded by Regent Ertz, with all members voting aye
the meeting was adjourned at 11:20 a.m. The next regular meeting of the Board of '
Regents is scheduled for January 18 and 19,2006
16
Underenrolled Classes for Fall, 2005
Appendix 1
Appendix 2
Policies for Board Review
October 20,2005
Appendix 2
Policies for Board Review
October 20, 2005
Appendix 2
Kennedy Auditorium B-16
Original Implementation: September 1, 1975
Last Revision: July 11,2005 October 20, 2005
The provisions of University Policy B-l, Use of University Facilities, govern the use of
all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under
the control of Stephen F. Austin State University. That policy provides that the
University may establish additional procedures for the reservation and use of specific
facilities; therefore, the following provisions apply to the Kennedy Auditorium.
Reservations for the Kennedy Auditorium must be made with the Dean of the College of
Sciences and Mathematics.
1. No event is scheduled for which an admission fee is charged.
2. Verification is required from the University Center that no space in the University
Center is available prior to allowing student organizations to use the Kennedy
Auditorium.
3. The University is not responsible for items left in the auditorium.
4. It is the responsibility of the person making the reservation to obtain needed equipment
such as a podium, projector, public address system, etc.
5. Persons reserving the auditorium will be responsible for keeping the facility clean and
for repairing any damage.
6. No materials are to be taped or in any way affixed to the walls, doors (interior or
exterior), chalkboards or screens without prior written approval.
Violation of the above regulations will result in denial of future use.
Source of Authority: Board of Regents, President, Vice President for Business
A&aksFinance and Administration
Cross Reference: B-L Use of University Facilities
Contact for Revision: Dean of the College of Sciences and Mathematics
Forms: None
Appendix 2
University Center Operations B-29
Original Implementation: 1966
Last Revision: October 23, 2003 October 20, 2005
GENERAL OPERATIONS
1. Reservations in the University Center are made through the Coordinator of University
Reservations and Conferences, referred to hereinafter as the Coordinator.
2. It is the responsibility of the Sponsoring Agency to ensure that the programs, related
activities, and printed material are accessible to persons with disabilities. The University
does not accept responsibility for insuring that the programs or activities of the group are
in compliance with the provisions for the Americans with Disabilities Act. Questions
regarding accessibility of facilities for a specific program being held in the University
Center should be directed to the Coordinator.
3. Tho Nibbler's Nook is a non rosorvablo area for general use by tho public during
regular operating hours.
43. Lounges are primarily intended for general use by the public. Limited use of the areas
for active programming will be allowed upon approval of the Director of Auxiliary
Services. Approval will depend upon several variables that will include time, size, and
type of program.
$4. Animals or pets of any kind, excluding, service animals shall not be permitted in the
building at any time.
65. Individuals or groups reserving space in the University Center shall be responsible for
the behavior of their members and guests and also shall be responsible for any damage
caused by their guest or members.
7-6. Failure to comply with the Operations Policy or with requests of the persons
enforcing this policy may result in suspension of privileges to use the University Center
and/or lead to action under the University disciplinary code.
&7. Disorderly conduct and disturbing the peace shall not be permitted in the University
Center and may lead to disciplinary action.
9£. Alcoholic beverages will be permitted in the University Center for receptions or
meals (only if catered or sold through a licensed vendor and approved in advance by the
President)
. Card playing or table games may be played only in the Games Area or in rooms
reserved for such purposes. No such games will be played in the dining area, the Hungry
Jack Inn, theNibblor'sNookor lounge areas. Gambling in the building is prohibited.
Appendix 2
+4-70. No classes, lectures, laboratories, tests or any type of class for credit shall be
scheduled in the University Center, except under extenuating circumstances.
4577. The University Center will not be responsible for any articles lost in the building.
4472. Food and drinks shall not be permitted on the second floor of the building except
when provided by University Center personnel for approved reservations. Food and
beverages are not allowed in the carpeted lounge areas without prior arrangements with
the Coordinator.
4475. Electrical circuits shall not be altered nor connected to, except through outlets
provided and with the approval of the Coordinator.
4474. Equipment and furnishings assigned to the University Center shall not be removed
from the immediate vicinity of the University Center for any reason, except upon
permission from the Director of Auxiliary Services.
4-675. The public address system shall be used for music and official announcements
only.
. Skates, skateboards, bicycles or bikes of any kind are not allowed inside the
University Center.
18. Presidents and sponsors of student organizations may rent tables and chairG for
activities adjacent to the University Centor after the activity has boon approved by tho
Diroctor of Student Affairs. Tables and chairs must bo rontod with tho Coordinator.
Tables must be chocked out and chocked back in at tho University Center Information
Desk (See charges).
DISTRIBUTION OF PROMOTIONAL MATERIALS
1. Only University organizations, including academic departments, registered student
organizations, faculty and staff organizations, other organizations and entities officially
associated with the University and the Alumni Association may display or distribute
promotional materials in the University Center after following established procedures.
Promotional materials include literature, publications, and posters.
a. The promotion of commercial enterprises is prohibited.
b. Promotional materials must be registered and filed with the Office of Student
Affairs
c. Posters and banners must be registered by the Coordinator.
d. Posters shall not exceed 14" X 22".
Appendix 2
e. Banners shall not exceed 18 feet long by 21" tall.
f. Posters may be put up within five (5) days prior to the event or earlier if the
space is available and shall be limited to three (3-2) posters per event in the
University Center at any one time. Any exceptions must be reviewed and
approved by the Director or Auxiliary Services. Posters will not be displayed for
longer than two weeks.
g. No posters or decorations will be placed on the building proper, including
posts, porches, terraces, doors, walks, walls, fountains, planters, floors, or
draperies.
h. Banners may be hung in designated areas of the University Center.
i. After the scheduled event, University Center personnel will remove and discard
all posters and banners.
j. Banners will not be posted longer than two (2) weeks.
2. After registration, any materials to be displayed on the tables in Food Service areas
must be taken to supervisory personnel of the respective dining areas for distribution
instructions. Material may not be distributed in cafeterias during dining hours.
POLITICAL CAMPAIGN POLICY
1. No political campaign posters of students or non-students will be posted in the
University Center.
2. Campaign literature of student candidates with permission of the cafeteria manager
may be placed on the tables in the cafeterias if the literature does not include fund or
membership solicitation.
3. Posters or flyers announcing political events, registered for campus, may be posted in
the University Center or distributed on cafeteria tabletops in conformance with
University Center policy. Only the name of the candidate, the date, time, place and
sponsoring organization may be on posters or flyers announcing a political event.
4. Candidates for political office, both student and non-student, may casually visit with
students, personnel, or other patrons in the University Center to solicit votes. Distributing
campaign literature or cards will be prohibited in the University Center.
5. Political Candidates may reserve rooms for meetings following all University Center
policies and subject to all applicable charges.
Appendix 2
SOLICITATION
1. Selling, canvassing, petitioning, fund raising, surveying and membership drives by
approved student organizations, will be permitted in the University Center after
registration with the Director of Auxiliary Services and the Office of Student Affairs
University departments, faculty and staff organizations, the Alumni Association and other
organizations and entities officially associated with the University must seek approval
from the Director of Auxiliary Services. Reservations for tables and space in the
University Center must then be made with the Coordinator.
2. No group, except for University departments and the Alumni Association with
approval, shall act as an agent for a commercial company.
3. Fund raising or charitable solicitation and the sale of products or services by
community organizations or.businesses are prohibited in the University Center. This
regulation shall not apply to University functions as defined in the University Solicitation
Policy.
4. Solicitation for newspaper delivery may be conducted in the University Center on days
designated by the Director of Auxiliary Services in areas assigned by the Coordinator. All
newspaper solicitors will have equal space.
5. Commercial cable service providers under contract with Stephen F. Austin State
University may conduct solicitation in the University Center on days designated by the
Director of Auxiliary Services in areas assigned by the University Center Coordinator.
BUILDING HOURS
1. The main portion of the University Center will be open daily from 6:30 a.m. until 9:00
p.m. The building will open Saturdays at 7 a.m. and Sundays at 8 a.m. There will be a
late charge, for those who reserve rooms, for each additional hour after 9:00 p.m. The
University Center may stay open late without charge for a University-sponsored event
The Nibblor'o Nook and Post Office areas will be open 24 hours daily. Cafeterias and the
Hungry Jack Inn will be open according to posted schedules.
2. All events in the University Center will conclude by 12 midnight, Sunday through
Thursday and by 1 a.m. Friday and Saturday. All patrons of the facilities are to vacate the
center immediately after that time. No student, faculty or staff member, except by
permission of the Director of Auxiliary Services shall remain in the University Center
after it is officially closed.
3. Hours of operations of the various areas and closing of the building between semesters,
on holidays, and during summer semesters shall be at the discretion of the Director of
Auxiliary Services.
Appendix 2
DECORATIONS
1. Organizations or individuals conducting activities in the University Center may request
assistance with decorating needs from the Special Services Manager. Arrangements for
decorations will be made with the Coordinator.
2. There is no charge for using the table decorations from the existing inventory, for
catered meals and receptions. Groups and individuals reserving rooms are responsible for
safekeeping of arrangements and will be charged for loss or damage. If UC linen
tablecloths are used, no crepe paper may be used due to fading. There will be charges for
the use of UC linen on non-food tables.
3. Delivery of decorator items from the University Center to other buildings is prohibited
except as approved by the Director of Auxiliary Services and with appropriate charges.
4. The University Center will not store items overnight for patrons. All items, including
balloons, brought into the Center for decorating purposes must be removed immediately
following the event. Trash bags may be supplied by the UC custodial service for balloon
and trash removal.
5. The University Center shall not be responsible for any articles left in the building.
6. Decorations will be attached only to self-supporting scaffolding and/or attachments
provided for decorating purposes. Standards, easels, room dividers, or tack boards are
available and may be requested through the Coordinator.
7. Excessive decorating requests such as: hanging and removing items from the ceiling or
sides of the room above the existing wires, activities requiring the use of scaffolding,
ladders and electrical hookups will be charged a maintenance fee. (See charges)
8. The use of adhesive tape, glues including spray glue and hot glue, tacky tape, thumb
tacks, masking tape or nails on doors, posts, ceilings, walls, floors or fixtures is
prohibited.
9. The use of hay or other flammable materials will not be permitted in the UC without
prior approval.
10. Decorations must be constructed by the organization outside the facility. Sawing,
painting or hammering, other than joining complete sections, must be done outside the
building.
11. In case of special decorating needs, check with the Coordinator. A time may be
established for entry into the facility for the purposes of decorating with appropriate
charges.
Appendix 2
12. Services and equipment provided at no charge are subject to availability, and working
conditions.
RESERVATIONS
1. Reservation Books are opened the first working day of the new calendar year for the
following calendar year. The general policy is to honor reservations on a first-come, first-serve
basis. Regular summer camps and special University functions will automatically
be scheduled for the corresponding dates each year.
2. Reservation contracts must be confirmed and the reservations document signed or
confirmed by email by the reserving person two weeks prior to each event. Unconfirmed
reservations after this time will automatically be canceled.
3. Reservations will not be accepted the day of the event.
4. The scheduling of activities, facilities, or equipment for recognized University clubs
and organizations must be made by a group officer or the sponsor of the organization.
5. Failure to use or release a University Center facility forty-eight hours prior to the event
may result in the group paying the regular room rates.
6. Groups scheduling activities with an expected attendance of 700 or more are required
to secure the services of a University Police Officer.
7. Commercial enterprises are normally not permitted to reserve or use space in the
University Center for purposes of promotion or selling. The Director of Auxiliary
Services may approve a commercial enterprise entering into an agreement with the
University Center for solicitation within the center, provided the activity has cultural or
educational value.
8. Changes in physical set-up of reserved space must be arranged with the Coordinator or
after office hours with the University Center Night Manager. Requested changes will
only be accommodated as time permits and will be subject to charges.
9. Off campus groups or individuals may be required to make a prepayment of three
fourths of the expected total bill two weeks before the event.
10. Groups and individuals with outstanding bills or debts owed to the University Center
will have their reservation privileges in the UC suspended.
11. Only food and beverage prepared by the University Center Food Service will be
served in the meeting and dining rooms of the University Center. A Catering Booklet
with menus and University Center charges is available in the Coordinator's office and on
the catering website at http://www.sfasu.edu/auxsvcs/pricelist/-:
Appendix 2
12. Only registered university organizations may reserve tables adjacent to the lounge
areas in the University Center.
13. Events that will continue after 9 p.m. must be scheduled at least two (2) weeks prior
to the event.
14. Use of University facilities or services are subject to be changed or cancelled based
upon priority needs of the University as determined by the Director of Auxiliary Services.
TECHNICAL SERVICES
1. The University Center will provide technical equipment if available. See the
Coordinator for a list of available equipment and prices, visit
http://www.sfasu. edu/auxvcs/pricelist/- Reservations for the event and technical
equipment are made with the Coordinator two weeks before the event. Late additions of
technical equipment to the order must be made at least two days prior to the event and a
late charge will be assessed (See charges).
2. Only University Center personnel will be permitted in the Technical Service booth
above the Grand Ballroom.
3. University Center technical equipment will not be taken from the University Center
except by approval of the Director of Auxiliary Services and with the appropriate
charges.
FACILITY USAGE BY APPROVED STUDENT ORGANIZATIONS AND
UNIVERSITY DEPARTMENTS
1. Approved student organizations and University departments will be permitted to use
University Center facilities for non-catered events at no charge.
2. Any dance sponsored by an approved student organization must have prior approval
from the Dean of Student Development before room reservations will be made. Dances
will be limited to one (1) per month per organization.
3. Student organizations will be allowed two (2) hours per week for series meeting
purposes. Exceptions must be approved by the Coordinator. Series meetings are
scheduled by email on a first come first served basis._Once the series is confirmed and the
reservation is processed, changes will not be made without a fee. If two weekly series
meetings are missed the series will be canceled.
4. An activity scheduled to continue past 12 midnight must be supervised by a University
police officer(s). A fee will be assessed for UPD service in addition to the UC late
charge.
10
Appendix 2
FACILITY USAGE BY OFF-CAMPUS GROUPS
1. Off-Campus groups which are sponsored by a University department may use the
University Center facilities without room charges.
2. Off-Campus groups without a University department sponsor shall be permitted to use
the facilities of the University Center and will be subject to guidelines and charges.
CATERING
See Catering Booklet or access the Catering website at
on the internet.
CAMPUS LOST AND FOUND
The University Center shall maintain a campus Lost and Found Department at the
Information Desk. (See Disposition of Abandoned Personal Property policy in the SFA
Policy and Procedure Manual).
CHARGES
See University Center price list at our web site
on the internet.
Source of Authority: Board of Regents, President, Vice President for University Affairs
Cross Reference: None
Contact for Revision: Director of Auxiliary Services
Forms: None
11
Appendix 2
Memberships C-17
Original Implementation: September 1, 1982
Last Revision: July \ ^October 20, 2005
All memberships are held in the name of the University. Memberships that clearly relate
to the University as a whole may be paid from the University's Institutional Membership
account, subject to available funding and President's approval. Memberships relating to
specific departments or functions are funded from departmental or college accounts.
Requests for approval of memberships are processed electronically through the online
Financial Records System (FRS) using Requisition Type 'DM'.
All memberships must be approved at the president's or vice president's level. This
approval may not be delegated.
Memberships to be funded from the University's Institutional Membership account must
be routed to the President's Office for requisition entry.
Memberships in a Chamber of Commerce may not be purchased with state funds.
Source of Authority: Texas Government Code, Section 2113.104; State Comptroller
Purchase Policies and Procedures Guide, July 2004, Section 2.036; President; Vice
President for Business Affairs Finance and Administration.
Cross Reference: Purchase Requisition, Policy C-30
Contact for Revision: Director of Purchasing & Inventory
Forms: None
12
Appendix 2
Purchasing Ethics and Confidentiality C-33
Original Implementation: Unpublished
Last Revision: July 8, 2004October 20, 2005
Credibility and public confidence are vital throughout the purchasing and contracting
process. If any involved party displays a lack of honesty, integrity or openness, the entire
program is injured. Even the shadow of doubt can be as harmful as the conduct itself.
Any SFA employee involved in any form of procurement or the procurement process
may not:
• participate in work on a contract by taking action as an employee through decision,
approval, disapproval, recommendation, giving advice, investigation or similar action
knowing that the employee, or member of their immediate family has an actual or
potential financial interest in the contract, including prospective employment;
• solicit or accept gifts or gratuities which might tend to influence purchasing decisions;
• be employed by, or agree to work for, a vendor or potential vendor;
• knowingly disclose confidential information for actual or anticipated personal gain, or
for the actual or anticipated gain of another person.
When an actual or potential violation of any of these standards is discovered, the person
involved shall promptly file a written statement concerning the matter with an appropriate
supervisor. The person may also request written instructions and disposition of the
matter.
Written disclosure must be submitted to the President for any contract of$l million or
more in value. Reference Ethics Policy E-56for specific information regarding the
disclosure.
If an actual violation occurs or is not disclosed and remedied, the employee involved may
be either reprimanded, suspended, or dismissed. The vendor or potential vendor may be
barred from receiving future contracts and/or have an existing contract canceled.
If not related to a particular transaction, University employees may accept from vendors
and others: (1) unsolicited advertising or promotional material such as pens, pencils,
scratch pads, and calendars; (2) occasional business lunches or food and refreshments of
insignificant value; and (3) other items of nominal or minor value (i.e., a box of candy or
fruitcake, etc.) that are merely tokens of appreciation. Refer to Ethics Policy E-56for the
statutory definition of a ft benefit. "
13
Appendix 2
Purchasing professionals have the right under law to have any ethics question reviewed
and decided by the State Ethics Commission. If you wish to learn whether a specific
action violates the ethics rules, please contact the State Ethics Commission, 1101 Camino
La Costa, Austin, Texas 78752 or call them at 1-800-325-8506.
Source of Authority: Vice President for Business Affairs Finance and Administration,
Texas Government Code 2262.004
Cross Reference: NeneEthics Policy E-56
Contact for Revision: Director of Purchasing and Inventory
Forms: None
14
Appendix 2
Investments - Endowment Funds C-41.A
Original Implementation: Unpublished
Last Revision: April 30, 2001 October 20, 2005
GENERAL
This Investment Policy Statement (IPS) applies to all Stephen F. Austin State University
(the "University") endowment funds. These funds are given to the University by
individuals and institutions to promote, encourage and advance education and to improve
the degree and non-degree educational functions by establishing scholarships,
fellowships, professorships, academic chairs and other academic endeavors at the
University, as specified by donors.
As provided in the Texas Education Code, each member of the Board of Regents (Board)
has the legal responsibilities of a fiduciary in the management of funds under the control
of the University. The Board recognizes its responsibility to insure that the assets of the
endowment funds are managed for the exclusive benefit of the University in accordance
with its donors' intentions, effectively and prudently, in full compliance with all
applicable laws.
Separate fund balance accounts are maintained for all funds. Funds may be restricted
either by the donor or the Board. Restricted funds are available primarily for specific
purposes considered beneficial to the University.
The investment of the Endowment funds is governed by Section 51.0031 of the Texas
Education Code. This section states that the University "... with regard to donations, gifts
and trusts may establish endowment funds that operate as trusts and are managed under
prudent person standards. As used in this section, "prudent person standard" is the
standard of care described in Article VII, Section 1 lb. of the Texas constitution, and
means that standard of judgment and care that persons of ordinary prudence, discretion,
and intelligence exercise in the management of their affairs in regard to the investments
of their funds, considering probable income as well as probable safety of their capital.
In the management of the University endowment investments, consideration will be given
to the need to balance a requirement for current income for present activities with a
requirement for growth in principal to compensate for inflation. Consideration will be
given to the need for safety of principal, liquidity, diversification, yield and quality.
The overall objective of the IPS is to assure that the University's endowment funds are
invested in a manner to achieve as high a level of return as can reasonably be expected to
be achieved given the primary objective of safety and preservation of principal. The IPS
clearly and concisely states the responsibilities of all parties involved with the
15
Appendix 2
endowment funds. The IPS will assist the Board, the Finance Committee ("Committee")
and the University Administration in effectively communicating with and monitoring the
investment manager(s) and the investment firm(s) that will be engaged from time to time
to facilitate the management of the endowment assets of the University. It states the
Boards' attitudes, guidelines and objectives in the investment of the endowment assets.
RESPONSIBILITIES
The University acknowledges that the ultimate responsibility for satisfactory investment
results rests with the Board. The Board believes that this responsibility is best discharged
by delegating certain authority to the University administration and by appointing one or
more investment management organizations to assume certain responsibilities.
The specific responsibilities of the Board in the investment process include and are
limited to developing a sound and consistent investment policy, developing sound and
consistent investment policy guidelines, establishing reasonable investment objectives,
allocating the endowment assets between equity and fixed-income investments, and other
investment mediums which it may deem appropriate and prudent, communicating clearly
the major duties and responsibilities of those accountable for investing the endowment
assets and achieving investment results, evaluating performance results, and abiding
within all applicable laws, including conflict of interest provisions therein.
The Vice President for Buoinoso Affairs Finance and Administration (Vice President) is
designated as the investment officer for the University. As such, the Vice President or
designee(s), is responsible for accounting for investments, monitoring and evaluating
performance results, and ensuring that policy guidelines are being adhered to and
investment objectives are being met. In addition, the Vice President or designee(s), is
responsible for the purchase, sale, assignment, transfer and management of investments,
for communicating with investment managers, brokers and dealers, for compiling
performance results, and for determining the proper distribution of investment returns to
the various accounts. The Vice President is also responsible for determining the
appropriate distribution of income in accordance with the distribution policy in the
distribution policy section. The Vice President will submit an annual investment
perspective to the Board of Regents.
INVESTMENT POLICY
The Board believes that the endowment assets should be managed in a way that reflects
the application of sound investment principles.
The Board adheres to the traditional capital market theory that maintains that over the
long term, the risk of owning equities should be rewarded with a somewhat greater return
than available from fixed-income investments. This reward comes at the expense of
higher volatility of returns and more exposure to market fluctuations than with fixed-income
investments. Fixed-income investments provide a more predictable return and
higher current income than do equities. Thus assets should be allocated between fixed-
16
Appendix 2
income investments and equities are such a manner as to provide for current income
while providing for maintenance of principal in real terms.
Avoiding large risks is essential. The University is willing to trade off some potential
opportunities for gain from high-risk investments (with high loss potential) by assuming a
moderate-risk posture in order to have a more stable positive return. This may result in
sacrificing some potential opportunities for gain during rising markets in order to avoid
large short term declines in market value during falling markets. Since the University is
adverse to large downward fluctuations in the value of its investments resulting from
volatile market value fluctuations, such year-to-year volatility should be minimized.
INVESTMENT POLICY GUIDELINES
For the purpose of this policy all securities which use long-term, credit ratings must be
rated the equivalent of "A" or better by a nationally recognized credit rating service.
Securities using short-term credit ratings must be rated at least A-2, P-2, F-2 or the
equivalent by a nationally recognized credit rating service.
The following categories of securities are permissible investments:
a) Direct obligation of the United States Government or its direct agencies.
b) Direct obligations of federally-sponsored agencies in accordance with
the above paragraph.
c) United States dollar denominated bonds, debentures, or commercial
paper and convertible securities issued by corporations in accordance with
the above paragraph.
d) Common stock and preferred stock issued by United States domiciled
corporations and common stocks of foreign companies listed on the major
U.S. or foreign security exchanges.
e) Certificates of Deposit issued by federally insured state banks, federally
insured savings and loan associations and saving banks or federally
insured credit unions. Amounts over the insurance limit of the institutions
must be secured by pledged securities.
f) Bankers acceptances accepted by a bank organized and existing under
laws of the United States or any state in accordance with the above
paragraph.
g) Money Market Mutual Funds. Funds must be registered with the
Securities and Exchange Commission, have a maximum dollar weighted
average maturity of no longer than 13 months, and be no-load funds. Funds
17
Appendix 2
must have assets consisting of securities described in the paragraphs above
and seek to maintain a stable net asset value of $1.00 per share (or unit).
h) Direct Security Repurchase Agreements. Direct Repos must be fully
secured (collateralized) by securities authorized under the sections (a)
through (f) above. Such collateral must be held by a third party. All
agreements will be in compliance with Federal Reserve Bank guidelines.
i) Shares of investment companies as defined by the Investment Company
Act of 1940. These companies include both closed-end investment
companies and open-end investment companies (mutual funds). Shares in
these companies may be purchased if they own securities described in
sections (a) through (h) above.
j) Certain types of transactions and purchase of certain types of securities
are specifically prohibited by this policy. Commodity trading including all
futures contracts, purchasing of letter stock, short selling, option trading,
and margin trading are specifically prohibited. Neither tax-exempt debt of
state and local governments, private placements, nor guaranteed
investment contracts may be purchased. No investments will be made in
derivative products as defined by the Financial Accounting Standards
Board in SFAS, No. 119. Collateral mortgage obligations that do not pass
the FFIEC test may not be purchased.
k) Assets and/or funds reportable within the scope of the University's
annual financial report may not be invested in or used to purchase
securities, including obligations, of a private corporation or other private
business entity that owns 10% or more of a corporation or business entity
which records or produces any song, lyrics or other musical work that
explicitly describes, glamorizes or advocates:
(1) acts of criminal violence, including murder, assault,
assault on police officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group,
sexual orientation, or religion.
18
Appendix 2
1) Except for up to three cases, no more than five percent (5%) of the
portfolio, including convertible securities, can be invested in any one
company. This will be measured on a cost basis. No more than ten percent
(10%) of the portfolio can be invested at any time in one company based
on the market value of the stock and portfolio. This section is not
applicable to investments in U.S. Government securities.
m) No more than fifteen percent (15%) of the portfolio can be invested in
any one industry, as defined by Standard and Poor's broad categories,
based on the cost value of the portfolio. No more than thirty percent (30%)
of the portfolio can be invested in any one industry based on the market
value of the portfolio. The holdings do not have to be invested in industry
groups that represent a cross-section of the economy.
n) All of the equities purchased for the portfolio (based at market value)
should have a minimum market capitalization of $250 million.
The allowable range and target asset allocation for the endowment funds
is:
Class Allowable Target
I | Range
j Equities | 0%-70% 60%
| securities j
Fixed | 0% - 60% j 40% I
income I ] \
securities j j j
Cash or j 0% - 100% j0% \
cash I
equivalents !
For the fixed income portion of the portfolio the asset mix should be,
maximum U.S. government bonds 100%, minimum government bonds
0%, maximum corporate bonds 50%, minimum corporate bonds 0%,
maximum cash 100%, minimum cash 0%.
Gifts of individual securities will be liquidated or transferred to an equity fund manager
currently employed by the University under the Use of Investment Firms section. The
liquidation or transfer will take place as soon as possible. If liquidated, the proceeds will
be invested in accordance with the allowable range and target asset allocation set forth in
this policy. Exceptions to this policy are securities described by sections (a), (b) and (c)
above. Such securities may be held so long as the asset allocation ranges are maintained.
The policy in this section can be overridden by a written directive from a donor.
19
Appendix 2
USE OF INVESTMENT FIRMS
The Vice President or designee, is responsible for selecting of brokers and dealers for the
execution of security transactions and for the safe keeping of securities. Sales, purchases
and exchanges will be transacted through well-capitalized, nationally-recognized
investment firms which are major participants in the equity and fixed-income markets.
Firms should be selected to provide the maximum benefit to the University. The Vice
President may choose to use a request for proposals to select the firm or firms with which
the University deals.
Selection of outside investment managers will follow these guidelines:
a) The Vice President or designee, within statutory and other regulatory
authority, may place selected funds of the University with investment
managers outside the University for investment purposes. The investment
of such funds will be subject to the provisions of this investment policy
statement. The Vice President is authorized to negotiate with outside
investment managers for the benefit of the University.
b) Outside investment manager(s) will receive a copy of the IPS and a
Letter of Instructions outlining investment instructions and asset allocation
parameters expressed in writing by the Vice President. The Letter of
Instructions will state return objectives that are reasonable and achievable
within the guidelines provided herein. These return objectives should be
achieved over a reasonable time frame, thus it is not necessary for the
outside manager(s) to exceed the return expectations each quarter. In
addition, each outside investment manager must execute a written
statement to the effect that the registered principal of the organization has
received and thoroughly reviewed the investment policy of the University.
The statement must also acknowledge that the organization has
implemented reasonable procedures and controls in an effort to preclude
imprudent investment activities.
c) Consistent with this investment policy statement and their Letter of
Instruction, the outside investment manager(s) will be responsible for
making decisions on a discretionary basis. This includes buy, hold, sell
and timing decisions. The outside manager(s) must make responsible
decisions in the selections of specific securities and the general timing of
purchases and sales necessary to achieve a satisfactory overall return for
the assets.
d) Outside manager(s) will invest only into the security class(es) for which
they were retained to manage. The manager(s) have discretion to place
funds into cash, however, their performance will be measured against an
index which measures their security class without deducting the cash
position.
20
Appendix 2
Investment managers employed by the University to invest in equities may be evaluated
using the following guidelines:
a) The average portfolio Beta should be between 1.10 and 0.90. That is to
say that the volatility of the fund should not differ from the volatility of
the S&P 500 by more than ten percent. The Beta calculation should
include any cash position in the portfolio.
b) The R-Squared may be as high as 100% over a time frame of one year
or longer if all investment objectives are met. R-Squared is a statistical
evaluation to measure similarity in behavior of the portfolio to the market.
c) The annualized Alpha should be greater than the managers fee
essentially showing that value is being added for the risk taken. Alpha
measures the excess return for the amount of risk taken.
d) Portfolio turnover will be monitored. If the performance results of the
portfolio meet the objectives stated herein, the rate of turnover in the
portfolio will not be an evaluative factor. However, a portfolio turnover
higher than the average of similar fund managers is considered a negative.
Files will be maintained on investment firms with which the University deals. The files
will contain financial statements for the firms and NASD reports for the brokers and
firms or other appropriate documentation information that supports the financial stability
of the firms. These files will be updated annually. A list of approved brokers and firms
will be maintained and changes will be approved by the Board of Regents.
DISTRIBUTION POLICY
The spending policy should balance the long-term objective of maintaining the
purchasing power to the endowment funds with the goal of providing a reasonable,
predictable, stable, and sustainable level of income to support current needs. Pursuant to
Chapter 163 of tho Uniform Management of Institutional Funds Act, an institution of
higher education may not expend the net unrealized appreciation of tho assets of an
endowment fund. The Vice President may review the nature of the various endowments
to determine the need for income for current spending and the ability to tolerate
variability in current income. The asset allocation between fixed-income securities and
equities may reflect diversification needs of the endowments.
PERFORMANCE EVALUATION
The Vice President will submit quarterly reports to the Board on the performance of the
investment portfolio. The reports will disclose the book value and market value of the
portfolio at the beginning and ending of the reporting period by the type of asset and fund
type invested. The reports will disclose the realized and unrealized gains/losses on the
portfolio for the reporting period. Additions and changes in the market value of the
21
Appendix 2
portfolio during the period will be reported. The reports will show the pooled fund value
as well as individual assets by fund type. The reports will state the maturity date of each
asset that has a maturity date. The total return on the portfolio, on each asset class and for
each manager will be reported.
The performance of the total portfolio, each asset class and each manager will be
compared to appropriate benchmarks and included in the quarterly reports to the Board
The report will contain sufficient information for the Board to determine if actions should
be taken to correct any deficiencies that may exist.
CONFLICTS OF INTEREST
Members of the Board are frequently persons of wide-ranging business interests.
Therefore, a prudent, independent investment decision process may result in investments
in firms or organizations with which a member of the Board is affiliated. Affiliation shall
be interpreted within this section to mean an employee, officer, director, or owner of five
percent or more of the voting stock of a firm or organization. The investment staff or an
unaffihated investment manager may invest in such securities. However, the following
restrictions shall apply:
a) a member of the Board shall not direct nor participate in the decision to
purchase or sell securities of a firm with which such member is affiliated-and
b) investments will not be purchased from or sold to a member of the
Board.
AUDITS
The Department of Audit Services of the University shall include endowment assets as a
component of its annual audit risk assessment. If the department determines that the
endowment assets meet its risk assessment criteria, Audit Services may perform an
annual audit of the endowment assets to ensure compliance with the endowment
investment policy.
Source of Authority: Board of Regents
Cross Reference: Texas Education Code, Section 51.0031
Contact for Revision: Vice President for Businooa Affairs Finance and Administration
Forms: None
22
Appendix 2
Fraud Policy Reporting Fiscal Misconduct C-46
Original Implementation: Replaces Reporting Fiscal Misconduct Policy C-46
implemented January 28, 7997January 28, 1997
Last Revision: October 31, IQQOOctober 20, 2005
INTRODUCTION
This policy establishes procedures and responsibilities for detecting, reporting and
resolving instances of known or suspected fiscal misconduct fraudulent activity The
intent of the policy is to protect the assets and interests of the University, prescribe a
coordinated approach toward investigation and resolution of fraudulent activity&seeA
mioconduct and outline specific responsibilities for individuals responding to the
investigation of a fraudulent activityfacal misconduct event. Retaliation for filing a good
faith report regarding suspected fraudulent activityfiacal misconduct is prohibited by this
policy, and is cause for disciplinary action, up to and including termination.
A) University - Stephen F. Austin State University and all of its components, regardless
of the source of funding.
B) Employee - All persons receiving compensation /rompersonnol employed b> the
University, including faculty, staff, and students. The term also includes any volunteer
who provides services to the University through an official arrangement with the
University or a University organization.
C) Management - Any administrator, manager, account holder, director, supervisor or
other individual who manages or supervises funds, assets or other resources, including
human resources.
D)G) Fraud - Fraud is defined as a representation usually of fact about a material point
which is intentionally, knowingly or recklessly false which is believed and acted upon by
a victim to the victim's damage.
E) Fraudulent Activities/Fiscal Misconduct - Defalcation, misappropriation, and other
fiscal irregularities or improprieties^ meeting the definition of fraud in D) above
including but not limited to:
1) dishonest, illegal, or fraudulent acts involving University property;
2) forgery or alteration of documents including checks, drafts, promissory notes,
aad-securities, purchase orders, budgets, etc.;
23
Appendix 2
3) forgery or unauthorized alteration by employees of employee benefit or
salary-related items such as time sheets, payroll documents, billings, claims,
surrenders, assignments, or changes in beneficiary;
4) forgery or unauthorized alteration by employees of student related items such
as grades, transcripts, loans, fees, financial aid applications, financial aid records;
5) misappropriation of funds, securities, supplies, or any other asset of the
University;
6) illegal or fraudulent handling or reporting of money transactions;
7) employee acceptance or solicitation of any gift, favor, or service that might
reasonably tend to influence the employee in the discharge of his or her official
duties;
8) theft, destruction or disappearance of records, furniture, fixtures, ^equipment
or other records or assetswhere thoft is suspected,^
9) misrepresentation of information on documents;
10) authorizing or receiving payment for goods not received or services not
performed;
11) knowing, reckless, or intentional inaccuracies in the maintenance of books
and records or irregularities in financial reporting;
12) any apparent violation of Federal, State or local laws related to dishonest
activities or fraud;
13) any similar or related activity.
FD) Suspected Fraudulent ActivityFiacal Mioconduct - A reasonable belief or actual
knowledge that fraudulent activityfiocal mioconduct has or is occurring. Failure to show
an actual diversion of assets or loss shall not be considered unreasonable belief.
POLICY AND PROCEDURE
Any employee of tho University who lmowa of or ouspocto fiacal mioconduct num
promptly notify hio or hor immodiato ouporvioor and/or one of the following inveotigativi
unita: tho Dopartmont of Audit Sorvicoo, the Office of General Counsel, the Univcraity
Police Department or the Pcroonnol Department. The Univoroity Police Department or
Office of General Counocl arc the preferred primary contacto. The unit contacted ahull
24
Appendix 2
contact tho remaining throe units as appropriate to establish tho necessary investigative
team and procedures.
All affected departments and/or individuals shall cooperate fully with the investigative
team to identify whether or not actual fiscal misconduct has occurred.
The investigative team shall update University administration of the progress of all
investigations. Tho scope of and individuals subject to investigations arc to bo considered
in determining the extent and nature of notification.
The results of all investigations will be reported to the President of the
University.MANAGEMENT RESPONSIBILITY
Management is responsible for detecting fraudulent or related dishonest activity in their
areas of responsibility. Management is responsible for establishing and maintaining a
system of internal control that provides reasonable assurance that improprieties are
prevented and detected. Each manager should be familiar with the types of improprieties
that might occur in his or her area and be alert for any indication that such a defalcation,
misappropriation, or other fiscal irregularity has occurred. When an impropriety is
suspected, management should determine if an error or mistake has occurred or if there
may be dishonest or fraudulent activity.
Management will support the University's fiduciary responsibilities and will cooperate
with auditors and law enforcement agencies in the detection, investigation, and reporting
of criminal acts, including prosecution of offenders. Every effort should be made to
recover University losses.
REPORTING SUSPECTED IMPROPRIETY OR ERA UDULENT ACTIVITY
Any employee of the University who knows of or suspects fraudulent activity or
improprieties must promptly notify his or her immediate supervisor and/or one of the
following investigative units: the Department of Audit Services, the Office of General
Counsel, the University Police Department or the Human Resources Department. The
unit contacted shall contact the remaining three units as appropriate to establish the
necessary investigative team and procedures.
Great care must be taken in the reporting and investigation of suspected improprieties or
irregularities to avoid incorrect accusations or alerting suspected individuals that an
investigation or audit is underway and also to avoid making statements which could
provide a basis for a lawsuit for false accusation or other offense. The reporting
individual should not:
25
Appendix 2
1) contact the suspected individual to determine facts or demand restitution; or
2) discuss the facts, suspicions, or allegations associated with the case with
anyone, unless specifically directed to do so by the Department of Audit Services,
University Police, or Office of the General Counsel
To the extent permitted by the applicable provisions of the Texas Open Records Act,
confidentiality of those reporting dishonest or fraudulent activities will be maintained.
However, the confidentiality cannot be maintained if that individual is required to serve
as a witness in legal proceedings.
The University will maintain an anonymous reporting system through the Department of
Audit Services for reporting dishonest or fraudulent activity.^
INVESTIGATION
Prior to conducting an investigation, the following personnel will communicate as
appropriate to establish the necessary investigative team: General Counsel, Director of
Audit Services, University Chief of Police, and Director of Human Resources.
The Department of The Office of Audit Services will supervise all audits of allegations of
defalcation, misappropriation, and other fiscal irregularities. The Department of Audit
services will have full and unrestricted access to all necessary records and personnel.
All University furniture and contents, including desks and computers, are open to
inspection when there is reasonable suspicion of a dishonest or fraudulent activity which
makes such inspection appropriate; there is no assumption of privacy. General Counsel
shall be contacted before inspection of desks and computers beyond inadvertent or
official access. Every effort should be made to effect recovery of University losses.
All affected departments and/or individuals shall cooperate fully with the investigative
team to identify whether or not actual fraudulent activity has occurred.
The investigative team shall update University administration of the progress of all
investigations. The scope of and individuals subject to investigations are to be considered
in determining the extent and nature of notification.
The results of all investigations will be reported to the President of the University or to
the Chair of the Regent's Finance Committee when considered necessary.
When an audit reveals suspected criminal activity, or an audit is initiated due to an
allegation of criminal activity, the University Police Chief will be notified immediately
and the audit will proceed under their his direction. In order to avoid the use of
26
Appendix 2
investigative techniques that might prevent evidence from being used in a criminal
prosecution, University Chief of Police will coordinate the criminal investigation once
probable criminal activity has been detected. The Department of Audit Services shall
assist the University Police in investigations of suspected defalcation, misappropriation,
and other fiscal irregularities that require accounting and auditing knowledge of
University records.
Oftr
When an audit involves allegations or reveals suspected criminal activity which may
constitute a felony offense, the Chief of Police shall, when appropriate, immediately
notify the President or his designee. The Director of Audit Services shall keep the
University Chief of Police informed regarding the progress of the audit.
The University Police, DepartmentQf&ee of Audit Services, and Office of the General
Counsel will coordinate assistance provided to State, Federal, and local law enforcement
agencies in connection with felony fraud investigations. All requests for information
and/or assistance from such agencies, received by any other component of the University,
shall be immediately forwarded to the University Police for determination and handling.
All reasonable assistance will be given to law enforcement agencies when requested.
All requests for information and assistance related to investigations conducted by
auditors of federal and state agencies, which are concerned with potential dishonest or
fraudulent activities within the University, shall be forwarded immediately to the Director
of Audit Services for consultation with the Office of General Counsel.
In order to avoid the use of investigative techniques that might prevent evidence from
being used in a criminal prosecution, University Police will coordinate the criminal
investigation once probable criminal activity has been detected. The Office of Audit
Services shall assist the University Police in investigations of suspected defalcation,
misappropriation, and other fiscal irregularities that require accounting and auditing
knowledge of University records.
In order to protect the reputations of innocent persons initially suspected of wrongful
conduct and to protect the University from potential civil liability, the results of
investigations and attendant audits will not be disclosed or discussed with anyone other
than authorized representatives of law enforcement and/or regulatory agencies and only
those persons associated with the University who have a legitimate need to know such
results in order to perform their duties and responsibilities, subject to provisions of the
Texas Open Records Act.
Pursuant to Section 321.022 of the Texas Government Code, the President shall file an
appropriate report with the office of the State Auditor. All records of a communication by
or to the State Auditor in this regard are legally considered audit working papers of the
State Auditor.
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Appendix 2
INVESTIGATIONS AND ATTENDANT AUDITS
Audits revealing violations of the Penal Code for which an audit report will be issued
shall be reduced to final report form only after consultation by University Police with the
local prosecutor or the Office of General Counsel to ensure that appropriate
documentation of the facts has been achieved in order to permit appropriate personnel
action, protect innocent persons, support appropriate civil or criminal actions, document
claims made pursuant to applicable fidelity bonds, preserve the integrity of criminal
investigation and prosecution and avoid unnecessary litigation.
Great care must be taken in the investigation of suspected improprieties or irregularities
to avoid incorrect accusations or alerting suspected individuals that an investigation or
audit is underway and also to avoid making statements which could provide a basis for a
lawsuit for false accusation or other offense. The reporting individual should not:
1) contact the suspected individual to determine facts or demand restitution; or
2) discuss the facts, suspicions, or allegations associated with the case with
anyone, unless specifically directed to do so by the Office of Audit Services,
University Police, or Office of the General Counsel.
All inquiries from the suspected individual, their representative or their attorney shall be
directed to the Office of General Counsel without further comment.
All reproduction of documents, evidence, and reports shall be performed within the
secured work area of the University Police or Office of Audit Services. Any requests to
release or review such documents will be coordinated through the Office of the General
Counsel.
To the extent permitted by the applicable provisions of the Texas Open Records Act,
confidentiality of those reporting dishonest or fraudulent activities will bo maintained.
However, the confidentiality cannot be maintained if that individual is required to serve
as a witness in legal proceedings.
When an audit initiated due to an allegation of criminal activity has failed to detect
criminal activity or when advised by the Office of General Counsel, the Director of Audit
Services has the discretion to stop the audit. The Office of University Police retains
authority to review the progress of criminal investigations and to determine whether to
pursue a criminal prosecution.
AUDIT FINDINGS
Each investigation of possible dishonest or fraudulent activities has the potential to
provide valuable insight into University activities. Investigations may disclose control
28
Appendix 2
weaknesses or other deficiencies that require additional auditing or attention by
management. The Office of Audit Services shall consider the nature and extent of the
investigation and complete any additional audit work necessary to provide management
with information for appropriate action.
Source of Authority: Board of Regents; Section 321.022 of the Texas Government Code
Cross Reference: Employee Conduct E-15, Ethics Policy E-56Nem, Discipline and
Discharge E-ll
Contact for Revision: Vice President for Businooo AffoirsFwawce and Administration
Forms: None
29
Appendix 2
Travel c_49
Original Implementation: October 31, 2000
Last Revision: April 28, 2005 October 20, 2005
Applicability
Unless otherwise stated, this policy applies to employees and prospective employees
traveling in a University capacity except members of the Board of Regents and the
President, who are exempt, and intercollegiate athletics. All policies, rules, and
regulations related to travel on behalf of, or in connection with, intercollegiate athletics
are included in the current issue of the Intercollegiate Athletics Policy Manual.
The travel regulations contained in this policy apply to all University funds. The
reimbursement limits established by this policy may be exceeded only if funds are
available in, and the additional costs are charged to, a discretionary account controlled by
the budget manager authorizing the additional expenditure. For this policy, discretionary
funds shall be defined as specified accounts established for the sole purpose of
discretionary use.
General Travel Regulations
Generally, the State of Texas Travel Allowance Guide is the authoritative document
regarding travel rules and regulations. The Guide is located in the Controller's Office
and at Travel Website. In case of conflict between the Guide and this policy, this policy
takes precedence.
Employees, and others traveling on behalf of the University, are reimbursed for actual
lodging expenses and on a per diem basis for meals, subject to the provisions of this
policy. In the case of employees traveling together, each must pay and claim
reimbursement for his own expenses (except taxi or limousine expenses - see Incidental
Expenses section of this policy).
Tips and gratuities are not reimbursable.
The applicable account manager may limit or prohibit reimbursement of any travel
expenditure provided the traveler is notified in advance.
Travel Request
Except as stated in the Applicability section of this policy, anyone traveling on University
business must obtain permission in advance of the trip. A Travel Request form (available
from University Printing Services and at Travel Website^ must be submitted and
approved at all applicable levels, as indicated on the form, whether or not expenses will
be incurred. All expenses of the trip are to be reflected on the Travel Request, regardless
of whether they are to be prepaid.
30
Appendix 2
The Controller's Office uses the Travel Request to encumber funds against the
appropriate account(s). The Travel Request will be approved by the Controller's Office
only when account balances are sufficient to cover the total estimated cost of the trip.
The Travel Request should be received by the Controller }s Office at least five (5) working
days prior to departure.
Travel to Washington, DC
Before An employee traveling to Washington, DC to confer on legislative or
appropriations issues, an employee shall inform the Texas Office of State-Federal
Relations about the timing and purpose of the trip, and provide the office with the name
of a person who may be contacted for additional information about the trip. A completed
form, Report of State Agency Travel to Washington, DC (available at Travel Website),
will meet this requirement when submitted prior to the trip.
Foreign Travel
Official University business travel to any foreign country other than Canada or Mexico
requires advance written approval from the Chair of the Board of Regents. The traveler
must submit a Travel Request through the appropriate administrative channels to the
President, who will forward the request to the Board Chair. To be considered for
approval, foreign travel must be directly related to the University's mission and must
require a duty that cannot be performed without the travel.
A completed Travel Request form (available from University Printing Services and at
Travel Website) must be routed through the appropriate administrative channels in
sufficient time to be approved by the Board Chair prior to the date of departure.
Charge Card for Travel Expenses
An individual corporate charge card is available for eligible employees. To be eligible to
apply, the employee must take, or expect to take, three (3) or more business trips per
fiscal year, or expend at least $500 per fiscal year for official State business. An
employee is not required to apply for or accept a State-issued charge card.
The State-issued individual corporate charge card is to be used for business-related
charges only while traveling on official State business. Use of the card for personal
business is considered a violation of State policy and the employee may be subject to
disciplinary action. The individual whose name appears on the card is solely responsible
for payment of the account. If the card is suspended or cancelled for misuse or
nonpayment, the employee will be ineligible for travel advances from the University.
If the application is approved by the credit card company, the employee agrees to be
bound by the cardmember agreement which will be sent with each card. Additionally,
the employee agrees to be bound by the State policies governing the use of the card.
Applications and further information concerning this program are available in the
31
Appendix 2
Controller's Office or at Travel Website. The employee, the employee's supervisor, and
the travel manager in the Controller's Office must sign the application.
Advance Travel Funds
Advance travel funds are available for employees who wish to obtain money in advance
of the trip and who are ineligible to apply for the individual corporate charge card.
Employees eligible to apply for the corporate credit card are not eligible for advances;
however, any employee may request advance travel funds when taking student groups.
Eligibility to apply for the State-issued corporate card is defined as taking three or more
business trips per fiscal year or expending at least $500.00 per fiscal year for official
State business. Advance travel funds may be requested on the Travel Request form
(available from University Printing Services and at Travel WebsiteV The minimum
amount of advance funds that can be obtained is $ 100.
To receive advance travel funds, the Travel Request should be received by the
Controller's Office at least five (5) working days prior to departure. Generally, the
requested funds will be available at the University Business Office at least one working
day prior to departure. Advance travel funds will be issued by a check made payable to
the individual requesting the funds. As a condition of receiving advance travel funds, the
employee agrees to refund any excess (amount advanced less documented eligible
expenditures on the Travel Voucher) within 30 days from the ending date of the trip. An
employee receiving advance travel funds will be ineligible for future travel advances until
the outstanding Travel Voucher is submitted. An employee who receives an advance
and does not travel must immediately return the advance funds. Abuse of the travel
advance privilege will result in ineligibility for future advances and the employee may be
subject to disciplinary action.
An advance travel check will only be issued prior to the trip. No advancement is
authorized if the trip has already commenced. The traveler should submit a Travel
Voucher for reimbursement subsequent to the trip.
Travel Voucher (Travel Expense Documentation and Reimbursement)
In order to receive reimbursement, travel expenditures must be documented on a Travel
Voucher (available from University Printing Services and at Travel Website') and signed
by the traveler and the account manager. The Travel Voucher must reflect the total
reimbursable expenses paid bv the employee regardless of whether advance travel funds
were received. Expenses paid bv the University should not be on the Travel Voucher.
Original receipts are required for most travel expenses (see applicable section of this
policy for specific details), except meals. In the case of meal expenses for group travel,
the sponsor/advisor must provide documentation of how the funds were expended. The '
sponsor/advisor should contact the travel manager in the Controller's Office in advance of
the trip for instructions. See Student and Other Group Travel, below.
32
Appendix 2
The Travel Voucher should be submitted, with original receipts attached, to the
Controller's Office within 30 days from the ending date of the trip. No reimbursements
will be made and all encumbrances will be cancelled 30 days after the end of the
fiscal year.
The State of Texas Travel Allowance Guide can be useful in the completion of Travel
Vouchers. It provides comprehensive information on travel procedures and the proper
classification of travel related expenditures. A current copy of the Guide is available in
the Controller's Office or at Travel Website.
Foreign Currency Conversion
All amounts listed on the Travel Voucher must be converted to U.S. dollars using the rate
applicable on the date of the expenditure. A foreign currency conversion table is
available at Travel Website. Documentation of the conversion calculation must be
attached to the Travel Voucher.
Reimbursement Rates - Lodging
Reimbursement may not exceed the amount of lodging expenses actually incurred at a
commercial lodging establishment, subject to maximum allowances stated below. The
original itemized lodging receipt, attached to the Travel Voucher, is required.
The State Travel Management Program of the General Services Commission has
contracted with several commercial lodging establishments for special rates. The
contracted vendors and rates are listed in the Texas State Travel Directory, which is
distributed to each department. Employees are encouraged to utilize the contracted
vendors when possible.
Travel Tip: The governmental rate for lodging is usually less than the convention rate.
Employees should check the governmental rate first. Since there is often a limited
number of rooms available at the governmental rate, employees should make hotel
reservations far in advance of the travel dates.
In-State
Travelers may be reimbursed for the actual cost of lodging, not to exceed the rate
designated in the State of Texas Travel Allowance Guide. Additionally, they may be
reimbursed for local taxes on the allowable lodging cost. State tax on in-state lodging
will not be reimbursed to State employees. Instead, State employees must submit a
completed Texas Hotel Occupancy Tax Exemption Certificate (available from University
Printing Services and at Travel Website) to commercial lodging establishments at check-in.
Employees should also be prepared to show proof of State employment.
Out-of-State
The Texas State Comptroller provides the maximum reimbursement rates for out-of-state
lodging. A list of the rates, which is updated from time to time, is available at Travel
Website. Within the continental United States, lodging reimbursement is limited to the
33
Appendix 2
locality-based allowance as stated on the list. For cities and counties not included on the
list, the allowance is the median rate established for lodging in that state. Applicable
taxes on the allowable lodging costs may also be reimbursed. Travelers to Alaska,
Hawaii, or a foreign country may be reimbursed for actual, reasonable costs.
If the actual cost of lodging exceeds a locality's lodging allowance, an employee may
reduce the maximum meal reimbursement rate for that locality and use the reduction to
increase the lodging reimbursement rate for that locality. No such adjustment can be
made to increase the maximum meal reimbursement rate.
Shared Lodging
When two or more employees share lodging, each employee must pay and claim his
prorated share of the cost. The University will reimburse each employee his share of the
lodging expense, not to exceed the applicable maximum lodging reimbursement rate. A
list of names of those sharing the same room should be attached to each Travel Voucher.
If only one of the individuals sharing lodging is an employee, then the amount that the
employee may be reimbursed for lodging expenses is the lesser of the single occupancy
room rate or the maximum lodging reimbursement rate.
Reimbursement Rates - Meals
This section of the Travel policy is inapplicable to Road Bus Drivers. Normally, Road
Bus Drivers are not reimbursed for meals. Any reimbursement of meal expenditures for
Road Bus Drivers is subject to the discretion and approval of the Director of the Physical
Plant.
Meal expenses with overnight stay are reimbursed on a per diem basis, as follows:
Breakfast
Lunch
Dinner
TOTAL
INSTATE
With Overnight Stay
$6.50
$11.50
$18.00
$36.00
IN- & OUT-OF-STATE
Without Overnight Stay"11
$6.50
$11.50
$18.00
$36.00
OUT-OF-STATE**
With Overnight Stay
17% of locality-based allowance
33% of locality-based allowance
50% of locality-based allowance
* Reimbursement without overnight stay is allowed if official travel requires the
employee to be at least 50 miles from his designated worksite for at least six (6)
consecutive hours during the calendar day. Internal Revenue Service rules (Publication
463) state nyou cannot deduct the cost of meals if it is not necessary for you to stop for
sleep or rest to properly perform your duties." Therefore, all reimbursement for meals
34
Appendix 2
without overnight stay is taxable to the employee. The reimbursement will be paid
monthly in the employee's regular payroll check and taxes will be withheld.
* * Within the continental United States, meal reimbursement is limited to the locality-based
allowance (list available at Travel Website ) provided by the Texas State
Comptroller. For cities and counties not included on the list, the allowance is the median
rate established in that state for meals. Travelers to Alaska, Hawaii, or a foreign country
may be reimbursed for actual, reasonable costs.
Meals are reimbursable for travel during the following time periods:
Breakfast Travel includes 6:00 a.m. - 8:00 a.m.
Lunch Travel includes 11:30 a.m. - 1:30 p.m.
Dinner Travel includes 6:00 p.m. - 8:00 p.m.
The traveler must be away from his designated worksite on official business the entire
time period to be eligible for per diem for that meal.
Meal expenses without overnight stay are reimbursable, not to oxcnnH pS 00 pnr Hny.
Such reimbursement is allowed if official travel requires tho employee to bo at least 50
milos from his designated worksite for at least six (6) consecutive hours during tho
calendar day. Meal expenses without overnight stay are roimhumoH nn n pnr Hinm
as follows:
Breakfast $ 1.25
jl/inner j> i jL.dk)
1 O Lu.1
Internal Revenue Service rules (Publication 163) state "you cannot deduct tho cost of
meals if it is not necessary for you to stop for sleep or rest to properly perform your
duties." Therefore, all reimbursement for meals without overnight stay is taxable to
the employee. Tho reimbursement will bo paid monthly in tho employee's regular
payroll check, and taxes will be withheld.
The daily reimbursement rate for meals is established by the State legislature and is
subject to change. When such change occurs, the University will adopt the new rate on
the effective date.
Additional guidelines for meal reimbursement:
Some registration fees include meals. In this case, the registration fee is fully
reimbursable but the employee must not claim per diem for the included meal,
according to the applicable rates above.
Meals purchased for the traveler by another person or entity are not reimbursable. In
this instance, the employee must not claim per diem for that meal, according to
the applicable rates above.
35
Appendix 2
In the case of employees traveling together, each must pay and claim his own
expenses.
Receipts are not required except for meal expenses for group travel. In this case, the
sponsor/advisor must provide documentation of how the funds were expended.
The sponsor/advisor should contact the travel manager in the Controller's Office
in advance of the trip for instructions.
Travel To/From the Duty Point; Travel Before/After Conducting Official Business
Subject to the other provisions of this policy, meals and lodging expenses may be
reimbursed for travel expenses to/from the duty point and prior to/after conducting
official business. This is only as necessary, and generally limited to no more than one
day before/after the business event, unless it is financially beneficial to the University
(e.g., when discounted airfare requires Saturday night stay and the additional expenses
incurred (hotel/meals/transportation) would not exceed the airfare savings). In these
instances, the total net savings must be documented and attached to the Travel Voucher.
Reimbursement Rates - Mileage
The number of reimbursable miles traveled by an employee may not exceed the number
of miles of the most cost-effective route. The shortest route between points, including the
use of all farm-to-market roads, is presumed to be the most cost-effective route. The
Texas Comptroller of Public Accounts Mileage Guide (available at Travel Website^
calculates the mileage between two locations. When both locations are in the Mileage
Guide database, the employee may be reimbursed for either the number of miles (1)
calculated by the Mileage Guide or (2) calculated by the employee's odometer. When
one or both locations are not in the Mileage Guide database, the number of reimbursable
miles is calculated by the employee's odometer. Mileage determined by use of the
employee's odometer must be itemized on a point-to-point basis on the Travel Voucher.
Any vicinity mileage at the destination location must also be itemized separately on a
point-to-point basis. For the purposes of this paragraph, "point" means a building, house,
highway intersection, or other similarly localized spot.
The reimbursement rate for use of an employee's personal vehicle is established by the
Board of Regents and the State legislature. That rate is the maximum amount
allowedspee&ed in the State of Texas Travel Allowance Guide (available in the
Controller's Office or at Travel Website^ or as updated by the Texas State Comptroller.
Four-Per-Car-Rule
Coordination of travel must occur when two, three, or four employees travel on the same
dates with the same itinerary to conduct the same official State business. When
coordination of travel is required, only one employee may be reimbursed for mileage.
Reimbursement Rates - When Representing the University President
36
Appendix 2
If the President is unable to attend a meeting or conference, the President may designate,
on an individual trip basis, one employee as a representative to travel. Under this
provision, the employee is reimbursed for actual expenses, not to exceed twice the
maximum allowance rates for lodging and meals specified by this policy. The Travel
Voucher must be accompanied by the original designating document from the President.
Receipts are required as specified in this policy, and the employee may only claim his
own expenses.
Registration Fees
The registration fee for attendance at a professional meeting is reimbursable if the fee
was approved on the Travel Request. The fee must be shown as a miscellaneous expense
on the Travel Voucher, with the original receipt attached.
Attendance at in-town conferences does not require a Travel Request. Employees may be
reimbursed for in-town registration fees by submitting a completed Travel Voucher, as
they would for any other travel reimbursement. The description should indicate that the
conference was in Nacogdoches.
Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additional amount can be claimed for the included meals.
Prepayment of Registration Fees by University
When requested, the University will prepay the registration fee for official business
conferences and seminars. If the meeting is held out-of-town, the employee must first
obtain approval to travel by submitting a Travel Request showing the registration fee as
an estimated cost of the trip. Additionally, a completed Purchase Voucher (available
from University Printing Services and at Travel Website^ and registration form must be
submitted to the Controller's Office well in advance of the payment due date.
The state-issued Procurement Card may also be used to prepay registration fees.
Airline Ticket Purchases
Any airline ticket expense, whether to be prepaid or reimbursed, must be listed on the
approved Travel Request.
The State Travel Management Program of the General Services Commission has
contracted with several airlines to provide special airfare rates for certain flights. A
listing of the flights and rates is available at Travel Website.
Employees are encouraged to make flight reservations at discounted fares. Often this
requires that the ticket be purchased well in advance of the travel date. Upon approval of
the Travel Request, employees may make the airfare purchase personally or have it
charged to the University, using the following procedures:
37
Appendix 2
An employee who personally pays for his airline ticket may request reimbursement in
advance of the trip by completing the Travel Voucher and attaching the receipt which
shows passenger name, date of travel, date of purchase, price and destination. An
employee wishing to charge an airline ticket directly to the University must submit an
Airfare Billing Form (available from University Printing Services) to the Controller's
Office. After approval, the employee must present the signed form to a local
participating travel agency (list available at Travel WebsiteV The travel agency will book
the flight and charge the expense to the University rather than to the employee.
The University cannot reimburse an employee for the cost of air transportation by a non
commercial transportation company.
Use of Non-University Owned Vehicle While on Official Business
An employee operating a personal vehicle must carry insurance as required by State law.
An employee operating any non-University owned vehicle, including his own personal
vehicle or a personally rented vehicle, does so at his own risk. The University accepts no
responsibility for vehicle or other damage, personal injury, claims filing, vehicle repair,
maintenance, insurance costs, towing or citations.
Motor Vehicle Rentals
If approved on the Travel Request, most expenses of renting a motor vehicle are
reimbursable. The daily rate, applicable taxes, and other mandatory charges are
reimbursable. An additional driver charge is reimbursable if it is incurred for an official
State business reason. Also, collision damage waiver and loss damage waiver expenses
are reimbursable if they are not already included in the contracted rate (see next
paragraph). The following expenses are not reimbursable: liability insurance supplement;
personal accident insurance; safe trip insurance; personal effects insurance.
The State Travel Management Program of the General Services Commission has
contracted with several vehicle rental agencies to provide special rental rates. Most rates
include unlimited free mileage, free loss damage waiver, and free primary liability
coverage. University employees traveling on official State business are encouraged to
use these contracted rates when possible. A listing of the agencies and rates is available
at Travel Website.
A detailed receipt from the motor vehicle rental company, attached to the Travel
Voucher, is required for reimbursement of motor vehicle rental expenses.
Incidental Expenses
Expenses for ground transportation such as taxi, limousine, subway, bus and other modes
of mass transit are reimbursable, subject to the provisions of this section. All expenses
must be listed on the approved Travel Request and Travel Voucher. Limousine expenses
are reimbursable if it was the least costly transportation available considering all relevant
circumstances. If two or more State employees share a taxi or limousine, it is allowable
38
Appendix 2
for one employee to pay and be reimbursed for that full expense. Other official business
expenses (e.g., parking, telephone calls, and copy services) are also reimbursable.
Receipts are requested, but not required, for reimbursement of these incidental expenses.
If receipts are not provided, an explanation of the reimbursable expenses must be detailed
on the Travel Voucher (including type of expense, date, amount and location).
The following are not reimbursable: expenses of a personal nature; expenses that would
be incurred by the employee regardless of official State business travel; tips and
gratuities.
Student and Other Group Travel
Employees traveling together are not considered group travel. Each employee must pay
and claim his own expenses.
When a non-employee group, such as a student group, travels together, it may be more
convenient for one person to pay and claim expenses of the entire group. In this case, the
person paying the expenses will be responsible for submitting the Travel Request and the
Travel Voucher. Receipts are required for all expenses of group travel, except meals.
However, the sponsor/advisor must provide documentation of how the funds were
expended for meals. The sponsor/advisor should contact the travel manager in the
Controller's Office in advance of the trip for instructions. Additionally, a list of names of
all travelers must be attached to the Travel Request and Travel Voucher.
If the group sponsor/advisor is an employee, he may request advance travel funds to pay
expenses for the group (refer to the Advance Travel Funds section of this policy for
procedures). The sponsor/advisor will be solely responsible for claiming reimbursement
on the Travel Voucher, and for repayment of the advance travel funds. Sponsors/advisors
of group travel are encouraged to contact the travel manager in the Controller's Office
prior to the trip for helpful record-keeping tips.
No Educational and General Funds (account numbers 1-XXXXX) may be used to
pay or reimburse travel expenses for students. All other provisions of this policy apply to
student travel.
Prospective Employees
All provisions of this policy apply to prospective employees. Additional methods of
payment are available to pay expenses incurred during the interview process and are
listed on the Travel Request-Prospective Employee form (available at Travel WebsiteY
Non-Reimbursed Travel
A travel request is required for any out-of-town University-related travel even if travel
expenses are not reimbursed. Examples include travel:
39
Appendix 2
for which University funds are not approved;
for which the traveler does not request or expect reimbursement; or
which has been paid by another source.
In any event of absence from class, the instructor is not to dismiss class but is to arrange
for an appropriate replacement. Moreover, only in extraordinary situations will travel be
approved that will result in the instructor missing the same class more than twice in
succession. Faculty members requesting to leave campus for travel that is not university-related
should notify their department chair and dean; if the absence will be for a day or
longer, faculty should file a leave of absence request but do not need to file a travel
request.
Source of Authority: Texas State Comptroller; Vice President for Bucincc: Affaire
Finance and Administration; State Travel Management Program of the General Services
Commission; Internal Revenue Service; Provost and Vice President for Academic Affairs
Cross Reference: Intercollegiate Athletics Policy Manual; State of Texas Travel
Allowance Guide; Texas State Travel Directory; Internal Revenue Service, Publication
463; Texas Comptroller of Public Accounts Mileage Guide
Contact for Revision: Controller
Forms: Travel Request, Travel Voucher, Texas Hotel Occupancy Tax Exemption
Certificate, and Purchase Voucher (all available from University Printing Services and at
Travel Website); Report of State Agency Travel to Washington, DC and Travel Request-
Prospective Employee (both available at Travel Website^ Corporate Travel Charge Card
Application (available from travel manager in Controller's Office); Airfare Billing Form
(available from University Printing Services)
Questions regarding the preparation of forms mentioned in this policy should be directed
to the Controller's Office.
40
Appendix 2
Appearances Before the Board of Regents D-4
Original Implementation: January 19, 1988
Last Revision: July 11,2005 October 20, 2005
1. Special appearances as requested by the Board or President: The Chair of the
Board of Regents or the President (as approved by the Board Chair) may invite
individuals to appear before the Board or one of its committees (as approved by
the Committee Chair) for specific purposes. The Chair of the Faculty Senate and
the President of the Student Government Association shall have the opportunity to
provide a report at each quarterly Board meeting.
Requests to address the Board: Requests to appear before the Board to make
comments on a specific agenda item must be received by the Assistant to the
Board in writing no later than twenty-four (24) hours before the Board meeting at
which the individual wishes to speak. The request should set out clearly the nature
of the subject matter to be presented relating to a specific Board agenda item. In
making a request to appear before the Board, individuals must give their names
and any relevant title or affiliation. Comments regarding non-posted agenda items
may be submitted to the Assistant to the Board in writing, at any time, for
distribution to the Regents.
Time allocation: The Board will allow up to twenty (20) minutes for public comment
per agenda item. An individual speaker will be permitted three (3) to five (5)
minutes for a presentation. The Board will allow a total of up to ninety (90)
minutes for public comments per regular quarterly meeting. Copies of speakers'
comments, and/or other written materials for distribution to the Board of Regents
will be accepted. Public comments will take place during the scheduled public
comment period at the beginning of each regular quarterly meeting.
Other meetings: While a specific period for public testimony will be limited to the
regular quarterly meetings, written comments are welcome for any scheduled
meeting of the Board of Regents. Forward one copy of your comments to the
Assistant of the Board for distribution to the Regents.
Scheduling of speakers: When the number of requests to address the Board at a given
session and for a specific agenda item exceeds the time available, requests will be
approved based on the order the written request was received by the Assistant to
the Board. If, by virtue of time or other constraint a speaker is not able to present
his/her comments, said comments will be accepted and distributed to the Board of
Regents at the meeting.
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Appendix 2
Special Requests: Special requests to appear before the Board for comments at times
other than the regular quarterly meetings can be submitted to the Assistant to
Board for consideration by the Chair of the Board of Regents.
Source of Authority: Board of Regents Rules and Regulations; Texas Education Code
Chapter 51, Section 51.355
Cross Reference: None
Contact for Revision: President
Forms: None
42
Appendix 2
Emergency Management Plan D_U
Original Implementation: November 1986
Last Revision: January 28, 2003October 20,2005
An Emergency Management Plan has been adopted to guide the response of appropriate
individuals to potential emergencies occurring on the campus of Stephen F. Austin State
University.
A. AUTHORITY AND REFERENCES
1. Authority for implementation of the Emergency Management Plan rests with the
President of Stephen F. Austin State University.
2. References
Article 51.210 and Article 51.203 of the Texas Penal Code.
The Texas Emergency Disaster Act of 1975, as amended (Article 6889-7,
Vernon's Civil Statutes).
The Texas Emergency Management Plan, and Annex L - Texas Department of
Health.
B. PURPOSE
The Emergency Management Plan is intended to establish policies,
procedures, and organizational structure for response to emergencies
that are of sufficient magnitude to cause a significant disruption
of the functioning of all or portions of SFASU. This plan describes
the roles and responsibilities of departments, schools, units and
personnel during emergency situations. The basic emergency
procedures are designed to protect lives and property through
effective use of University and community resources. Since an
emergency may be sudden and without warning, these procedures are
designed to be flexible in order to accommodate contingencies of
various types and magnitudes.
This plan addresses each type of emergency on an individual basis
providing guidelines for the containment of the incident and
provides emergency instructions to the individual designated to
direct University resources in a concise format. It will also
provide emergency response information primarily for use by
faculty/staff and other on-site personnel who may be initial
responders to an emergency incident.
The purpose of this plan is to provide the necessary guidelines, procedures, and
instructions for implementing emergency operations at SFASU. Emergency
43
Appendix 2
operations will utilize the existing University organizations, with aid as necessary
from city, state, and federal governments.
C. SCOPE
This plan is a university-level plan that guides the emergency
response of university personnel and resources during and after an
emergency situation. It is the official Emergency Management Plan
of SFASU and precludes actions not in concert with the intent of
this plan or the organization created by it. However, nothing in
this plan shall be construed in a manner that limits the use of good
judgment and common sense in matters not foreseen or covered by the
elements of the plan.
This plan and organization shall be subordinate to federal, state,
or local plans during a disaster declaration by those authorities.
This plan is consistent with established practices relating to
coordination of emergency response. Accordingly, this plan
incorporates the use of the Incident Command System (Emergency
Operation Center) to facilitate interagency coordination, promote
the use of common emergency response terminology and command
structure, and facilitates the flow of information between
responding agencies.
The University will cooperate with the Office of Emergency
Management, State, County and City Police and other responders in
the development of emergency response plans and participate in
multi-jurisdictional emergency planning exercises.
This plan constitutes the general guidelines for personnel of tho University and for
such other departments or individuals as may como under tho direction and control of
the University while engaged in activities intended to mitigate the harmful effects of
accidents or natural disasters. Further, this plan provides guidelines for response to
such occurrences.
This plan is intended to stand alone or to complement other plans and provisions of
the Texas Emergency Management Council and of local government. Provisions of
this plan that are not specific to the activities of the University, have been included
for purposes of clarity and their presence here is not intended to supersede or abrogate
the provisions of the Texas Emergency Disaster Act of 1975.
D. MISSION
The University will respond to an emergency situation in a safe, effective, and timely
manner. University personnel and equipment will be utilized to accomplish the
following priorities:
Priority I: Protection of Human Life
Priority II: Support of Health & Safety Services
Priority III: Protection of University Assets
Priority IV: Maintenance of University Services
Priority V: Assessment of Damages
44
Appendix 2
Priority VI: Restoration of General Campus Operations
E. SITUATIONS AND ASSUMPTIONS
1- Situations:
The University is an autonomous community of approximately 13 000
people surrounded by a city of approximately 30,000 'xhe
University is responsible for providing law enforcement and
internal distribution of utility services to the University
community on a day-to-day basis.
2. Assumptions:
This Emergency Management Plan is predicated on a realistic
approach to the problems likely to be encountered during a major
emergency or disaster. Hence, the following assumptions are made
and should be used as general guidelines in such an event-
An emergency or a disaster may occur at any time of the day or
night, weekend, or holiday, with little or no warning
The succession of events in an emergency or disaster is not
predictable; therefore, published operational plans, such as
this plan, should serve only as a guide and a checklist, and
may require modifications in order to meet the requirements of
the emergency.
An emergency or a disaster may be declared if information
indicates that such conditions are developing or probable
Disasters may be community-wide. Therefore it is necessary for
the University to plan for and carry out disaster response and
short-term recovery operations in conjunction with local
resources. The University may however be dependent upon its
own personnel and resources in the interval prior to the
arrival of help from the usual sources.
AVThe University is more knowledgeable about its facilities than
are other agencies.
Bin thn event of a dLdulu. the University ^ hn rWn,-.-.,, upull iL
pmonnol and rcoourcu, in the interval piior to the arrival uf help from the
usual sources.
Grin the event that the University is not affected by the primary disaster its
personnel and resources may be available to supplement and support local
services.
F. DIRECTION AND CONTROL
1. Routine organization (See University Organizational Chart.)
2. The organization of the Emergency Operation Center (EOC) will vary from the
routine structure as follows:
The location of the primary EOC will be designated by the Director of the EOC
upon activation of this plan after consideration of the nature of the emergency.
The secondary EOC may be in the University Police Department.
45
Appendix 2
The EOC Director will be designated by the President of the University and he, or
his designee, must be present in the EOC as long as the plan is activated. He
will serve as the